Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Jaffe has been in the financial services industry since 1985. Currently, Stephen Jaffe is a registered representative at Oppenheimer & Co. Inc. Prior to that, Stephen Jaffe was employed at WELLS FARGO ADVISORS, LLC, UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., SMITH BARNEY INC., LEHMAN BROTHERS INC. and PRUDENTIAL SECURITIES INCORPORATED. Stephen Jaffe has experience in the areas of Investment Advisory Services, Portfolio Management for Individuals, Portfolio Management for Businesses, Portfolio Management for Pooled Investment Vehicles, Selection of Other Advisers, Pension Consulting, and Financial Planning. Stephen Jaffe holds Series 7, Series 63 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
FL
12/01/2010 - Present
Oppenheimer & Co. Inc. (BOCA RATON FL)
FL
05/01/2009 - 07/27/2010
WELLS FARGO ADVISORS, LLC (AVENTURA FL)
FL
08/20/2004 - 05/27/2009
UBS FINANCIAL SERVICES INC. (AVENTURA FL)
NY
07/05/1995 - 08/25/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
07/31/1993 - 09/14/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
03/06/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
02/08/1988 - 03/11/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
03/19/1985 - 02/17/1988
THOMSON MCKINNON SECURITIES INC.
BC
Issued 03/25/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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