Mutual Fund Distribution

Included in the service package offered by Rafferty are the following key elements:

Our Broker-Dealer is registered in the 50 States, Puerto Rico, and US Virgin Islands allowing fund clients to sell shares in each of those jurisdictions.
Rafferty is a member of the National Securities Clearing Corporation and can sponsor client funds into the NSCC Fund/SERV system.
We have experienced, licensed personnel qualified to review and file fund advertising/marketing materials with FINRA.
Maintain records of all materials filed with FINRA.
Coordination and execution of Broker-Dealer Selling Agreements.
Assist with operational set up on distribution platforms.
Administration and carrying of FINRA licenses for qualified employees of a Fund/Advisor.

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Mutual Fund Distribution

Included in the service package offered by Rafferty are the following key elements:

For more information, contact:

Tom Mulrooney

Heather Hjelm

1010 Franklin Avenue, Suite 300A
Garden City, NY 11530
(516) 535-3800
info@raffcap.com

Mutual Fund Distribution

Included in the service package offered by Rafferty are the following key elements:

For more information, contact:

Tom Mulrooney

Heather Hjelm

1010 Franklin Avenue, Suite 300AGarden City, NY 11530(516) 535-3800info@raffcap.com

1010 Franklin Avenue, Suite 300A
Garden City, NY 11530
(516) 535-3800
info@raffcap.com