Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jonathan? Claim Your ProfileJonathan Matthew Rafferty is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Jonathan has been in the financial services industry for over 8 years. Jonathan holds the Series 6, 7, and 63 licenses and the SIE exam certification. He is registered to provide securities and advisory services in Arizona, California, Colorado, Florida, Nevada, New Mexico, Tennessee, Texas, and Utah. Jonathan's prior registrations include U.S. Bancorp Investments, Inc. and Wells Fargo Clearing Services, LLC. Jonathan has experience providing investment advisory services to individuals, businesses, and retirement plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AZ
08/21/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TUCSON AZ)
NM
11/29/2021 - 06/24/2024
U.S. BANCORP INVESTMENTS, INC. (Las Cruces NM)
NM
09/04/2015 - 11/23/2021
WELLS FARGO CLEARING SERVICES, LLC (LAS CRUCES NM)
IA
Issued 10/8/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/16/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/28/2017
Series 7 - General Securities Representative Examination
BC
Issued 9/4/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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