Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Alan Jaffe is an active investment advisor representative registered with HSBC Securities (USA) Inc. Thomas has been in the industry since 1994 and has worked for several firms, including CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, and CAL FED INVESTMENTS. Thomas is licensed in multiple states and holds several professional designations. Thomas specializes in providing investment advice to high-net-worth individuals, corporations, and pooled investment vehicles.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
WA
08/10/2022 - Present
Hsbc Securities (usa) Inc. (SEATTLE WA)
CA
05/29/2007 - 04/05/2012
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
CA
12/11/2002 - 05/29/2007
CITICORP INVESTMENT SERVICES (PASADENA CA)
CA
12/11/2002 - 02/05/2003
CAL FED INVESTMENTS (SACRAMENTO CA)
CA
06/06/2002 - 12/11/2002
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
NY
02/23/1996 - 03/13/2002
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NJ
06/15/1993 - 03/04/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 04/29/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/06/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/27/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/30/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/08/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/17/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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