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Harry Jaffe

Third Seven Capital LLC

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About Harry Jaffe

Harry Jaffe is an active broker with over 17 years of experience in the financial services industry. Harry is currently registered with Third Seven Capital LLC as a General Securities Principal and a Registered Representative. Harry has previously held positions at Berenberg Capital Markets LLC, Peel Hunt Inc, Liberum and Deutsche Bank Securities Inc. Harry holds the following licenses: Series 7, Series 9, Series 14, Series 24, Series 63, Series 79TO and SIE. Harry is registered in the following states: California, Connecticut, District of Columbia, Florida, Massachusetts, New York and Texas.

Firm Information

Harry Jaffe is currently registered with Third Seven Capital LLC. Third Seven Capital LLC is a Limited Liability Company formed on July 6, 2011, with a status of Approved. The firm is registered in all 50 states and the District of Columbia, as well as Puerto Rico and the Virgin Islands. Third Seven Capital LLC has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

34

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Harry Jaffe’s Registration & Firm History

NY

08/23/2022 - Present

Third Seven Capital LLC (NEW YORK NY)

NY

02/08/2022 - 08/25/2022

BERENBERG CAPITAL MARKETS LLC (NEW YORK NY)

NY

04/08/2021 - 02/08/2022

BERENBERG CAPITAL MARKETS LLC (NEW YORK NY)

NY

07/29/2014 - 02/09/2021

PEEL HUNT INC. (NEW YORK NY)

NY

11/30/2009 - 05/09/2014

LIBERUM (NEW YORK NY)

NY

12/06/2005 - 08/19/2009

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/05/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 03/04/2009

Series 24 - General Securities Principal Examination

BC

Issued 07/05/2008

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/05/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Harry Jaffe.
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