Max T. Jaffee
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.
Max Todd Jaffee, who also goes by Todd Jaffee, was a registered financial professional .
Max is a previously registered financial professional and started their career in finance in 1984. Max had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2011 - May 2, 2016
MSI FINANCIAL SERVICES, INC.
December 14, 2010 - May 2, 2016
MSI FINANCIAL SERVICES, INC.
May 6, 2010 - September 27, 2010
LAIDLAW & COMPANY (UK) LTD.
January 30, 2009 - May 11, 2010
VALIC FINANCIAL ADVISORS, INC.
January 9, 2009 - May 11, 2010
VALIC FINANCIAL ADVISORS, INC.
January 1, 2008 - November 11, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - November 11, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 31, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 22, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 15, 1998 - February 6, 2007
YOUNG, STOVALL AND COMPANY
November 18, 1996 - January 5, 1998
FISERV INVESTOR SERVICES, INC.
July 29, 1996 - November 4, 1996
RURAL SECURITIES, INC.
May 27, 1988 - May 1, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 1984 - June 15, 1988
PRUDENTIAL EQUITY GROUP, LLC
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
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
