Philip J. Zaffer
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.
Philip John Zaffer, who also goes by Phil Zaffer, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1982. Philip had worked at 6 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2013 - August 24, 2015
PHILIP J. ZAFFER & ASSOCIATES, LTD
August 5, 2011 - April 18, 2013
MONTICELLO INVESTMENT SERVICES, INC.
August 1, 2011 - April 18, 2013
MIDAMERICA FINANCIAL SERVICES, INC.
March 17, 2010 - August 1, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 14, 1996 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
September 22, 1987 - May 13, 1988
STANFORD SECURITIES INCORPORATED
April 15, 1985 - October 10, 1986
STANFORD SECURITIES INCORPORATED
April 8, 1982 - August 1, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
PHILIP J. ZAFFER & ASSOCIATES, LTD
CRD#: 166946 / SEC#:
Contact information
Red Flags
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