Career
Douglas Yones has been Chief Executive Officer of Rafferty Asset Management since November 2024. Douglas Yones is a control person of the firm and directly owns under 5% of it.
Rafferty Asset Management, LLC is a New York, NY firm with $55.2B under management, 133 clients and 13 advisers across 3 offices, as of its March 2026 filing.
Direxion identifies Douglas Yones as Chief Executive Officer. The biography describes prior roles at the New York Stock Exchange and Vanguard and states he holds an MBA from Villanova and a bachelor’s degree from Penn State.
No adviser firm registrations are on Douglas Yones’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 11 April 2025 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 29 October 2004 |
| Series 4 | Registered Options Principal Examination | 30 August 2002 |
| Series 24 | General Securities Principal Examination | 30 April 2002 |
| Series 7 | General Securities Representative Examination | 8 October 1997 |
| Series 52 | Municipal Securities Representative Examination | 30 July 1997 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Municipal Securities Representative Examination
Individual record
- Full name
- Douglas Michael Yones
- CRD
- 2925109
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Douglas Yones work?
Douglas Yones has been Chief Executive Officer of Rafferty Asset Management, LLC since November 2024, and is a control person of the firm.
Does Douglas Yones have a current investment-adviser registration?
Douglas Yones has a current broker registration and no current investment-adviser registration.
What exams has Douglas Yones passed?
Douglas Yones has passed 6 licensing exams: the Series 52, Series 7, Series 24, Series 4, Series 53 and Series 63. The earliest, the Series 52, was passed in July 1997. FINRA credited Douglas Yones with the SIE, which began in October 2018.