Richard S. 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.
Richard Sheridan Jaffe, who also goes by Richard Sheridan Jaffe, Richard Jaffe, Rich Jaffe, Richard S Jaffe, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2023 - October 7, 2024
FIRST CITIZENS INVESTOR SERVICES, INC.
September 16, 2021 - July 29, 2022
SVB INVESTMENT SERVICES INC.
September 16, 2021 - December 31, 2023
SVB INVESTMENT SERVICES INC.
January 13, 2021 - October 7, 2024
SVB WEALTH
September 8, 2016 - October 14, 2019
WELLS FARGO CLEARING SERVICES, LLC
September 6, 2016 - October 14, 2019
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2007 - June 23, 2016
CREDIT SUISSE SECURITIES (USA) LLC
February 5, 2007 - June 23, 2016
CREDIT SUISSE SECURITIES (USA) LLC
April 21, 2004 - June 14, 2005
J.P. MORGAN SECURITIES INC.
January 17, 2003 - April 13, 2004
CREDIT SUISSE SECURITIES (USA) LLC
July 26, 2002 - January 17, 2003
PERSHING LLC
May 29, 2002 - April 13, 2004
CREDIT SUISSE SECURITIES (USA) LLC
April 24, 1995 - January 17, 2003
PERSHING LLC
May 21, 1987 - May 2, 1995
CREDIT SUISSE SECURITIES (USA) LLC
December 21, 1983 - June 3, 1987
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
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
Series 5
Date: 1/17/1984
Interest Rate Options ExaminationSeries 8
Date: 10/31/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST-CITIZENS BANK & TRUST COMPANY | 100% OWNER | |
| BILITER, DAVID LEE | DIRECTOR, PRESIDENT | 1690995 |
| CECE, MARY | SECRETARY | 2135583 |
| LONGEST, MICHAEL LEE | DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY | 6692593 |
| MARRONE, MARK STEPHEN | CHIEF COMPLIANCE OFFICER | 1987907 |
| MCCALLUM, CHARLES FALCONER III | DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE | 2697260 |
| WALSH, WILLIAM JAMES | DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR | 4883580 |
| WILSON, MICHAEL CHRISTOPHER | DIRECTOR, WEALTH MANAGEMENT EXECUTIVE | 4301352 |
Regulatory assets under management
| Total Number of Accounts | 6,706 |
| AUM (Assets Under Management) | $ 2,098,769,026 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 |
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.
