Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Jaffe is a financial advisor with over 30 years of experience in the industry. Richard has worked with several firms, including Goldman, Sachs & Co., Credit Suisse Securities (USA) LLC, Wells Fargo Clearing Services, LLC and most recently SVB Wealth LLC. Richard's current firm is First Citizens Investor Services, Inc. Richard is a registered Investment Advisor and holds several licenses, including Series 3, 5, 7, 8, 10 and 65. Richard specializes in financial planning, portfolio management and wealth planning.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Planned giving, family office, wealth planning
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.
A percentage of the total value of assets under management is charged.
1
2
PA
11/27/2023 - Present
First Citizens Investor Services, Inc. (Paoli PA)
PA
09/16/2021 - 12/31/2023
SVB INVESTMENT SERVICES INC. (Conshohocken PA)
PA
09/06/2016 - 10/14/2019
WELLS FARGO CLEARING SERVICES, LLC (RADNOR PA)
PA
02/05/2007 - 06/23/2016
CREDIT SUISSE SECURITIES (USA) LLC (WEST CONSHOHOCKEN PA)
NY
04/21/2004 - 06/14/2005
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
05/29/2002 - 04/13/2004
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NJ
04/24/1995 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
05/21/1987 - 05/02/1995
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NA
12/21/1983 - 06/03/1987
GOLDMAN, SACHS & CO.
IA
Issued 12/13/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/31/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2012
Series 3 - National Commodity Futures Examination
BC
Issued 01/17/1984
Series 5 - Interest Rate Options Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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