Daisy T. Madencis-jaffe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daisy Theodora Madencis-jaffe, who also goes by Daisy Theodora Jaffe, Daisy Theodora Madencis, Daisy Theodora Madencis-jaffe Mrs, was a registered financial professional .
Daisy is a previously registered financial professional and started their career in finance in 1982. Daisy had worked at 9 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2015 - January 8, 2016
WADDELL & REED
November 22, 2013 - December 20, 2013
NATIONAL PLANNING CORPORATION
October 7, 2013 - December 20, 2013
NATIONAL PLANNING CORPORATION
May 20, 2013 - August 12, 2013
LPL FINANCIAL LLC
May 17, 2013 - August 12, 2013
LPL FINANCIAL LLC
November 8, 2006 - May 23, 2013
WEDBUSH SECURITIES INC.
November 8, 2006 - May 23, 2013
WEDBUSH SECURITIES INC.
August 24, 2005 - November 29, 2006
RYAN BECK & CO.
August 24, 2005 - November 29, 2006
RYAN BECK & CO.
January 3, 2005 - August 29, 2005
MORGAN STANLEY DW INC.
September 4, 1984 - August 29, 2005
MORGAN STANLEY DW INC.
January 21, 1984 - September 17, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 10, 1982 - February 28, 1984
MORGAN STANLEY DW INC.
May 20, 1982 - June 21, 1982
SUTRO & CO. INCORPORATED
January 25, 1982 - February 7, 1982
SCHRODER & CO. INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
