Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neal? Claim Your ProfileNeal Alan Jaffe is a financial professional who has been in the industry since August 17, 2006. Neal Alan Jaffe is currently registered with Stonex Financial Inc. and is licensed in Illinois. Neal Alan Jaffe has experience at other firms including Equitec Proprietary Markets, LLC, Equitec Trading, LLC, Equitec Structured Products,LLC and PFS Investments Inc. Neal Alan Jaffe holds the Series 6, Series 7, Series 63, Series 99TO, and SIE licenses.
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.
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.
1
2
IL
03/03/2015 - Present
Stonex Financial Inc. (Chicago IL)
IL
12/02/2011 - 12/19/2013
EQUITEC PROPRIETARY MARKETS, LLC (CHICAGO IL)
IL
05/09/2011 - 08/06/2012
EQUITEC TRADING, LLC (CHICAGO IL)
IL
03/22/2011 - 03/30/2011
EQUITEC STRUCTURED PRODUCTS,LLC (CHICAGO IL)
GA
08/04/1997 - 06/27/2003
PFS INVESTMENTS INC. (DULUTH GA)
BC
Issued 07/12/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/2013
Series 7 - General Securities Representative Examination
BC
Issued 08/02/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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