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Scott Erik Jaffe

Keefe, Bruyette & Woods, Inc.

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About Scott Erik Jaffe

Scott Jaffe is a registered representative with Keefe, Bruyette & Woods, Inc. Scott has been in the financial services industry since June 3, 1995. Scott has held past registrations with firms such as J.P. Morgan Securities Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Tucker Anthony Incorporated.

Firm Information

Scott Jaffe is currently registered with Keefe, Bruyette & Woods, Inc.. Keefe, Bruyette & Woods, Inc. is a Corporation, formed in 1962, that is registered in all 50 states and the District of Columbia, plus Puerto Rico. The firm has been approved by the SEC and has been involved in 17 Regulatory Events and 1 Bond disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

88

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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Scott Jaffe’s Registration & Firm History

NY

06/01/2004 - Present

Keefe, Bruyette & Woods, Inc. (NEW YORK NY)

NY

05/01/2001 - 03/09/2004

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

07/10/1998 - 05/01/2001

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

06/04/1997 - 09/11/1997

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

11/29/1993 - 07/10/1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

MA

05/19/1993 - 10/06/1993

TUCKER ANTHONY INCORPORATED (BOSTON MA)

NY

03/18/1993 - 04/05/1993

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 02/06/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/25/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/06/2012

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/13/2004

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/16/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Scott Erik Jaffe.
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