Leonard S. Yaffe
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.
Leonard Scott Yaffe was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1986. Leonard had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2003 - April 1, 2014
KESSEF CAPITAL MANAGEMENT, LLC
October 1, 1997 - November 13, 2002
BANC OF AMERICA SECURITIES LLC
February 24, 1988 - October 1, 1997
MONTGOMERY SECURITIES
July 18, 1986 - January 25, 1988
GILFORD SECURITIES INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
KESSEF CAPITAL MANAGEMENT, LLC
CRD#: 127489 / SEC#:
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Active | 4/19/2017 |
Red Flags
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