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JF

Jeffrey L. Feldman

Some features on this profile are disabled
CRD#: 205903
JF

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.

Jeffrey Lee Feldman was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1973. Jeffrey had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 24 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 8, 2013 - January 8, 2016

INDEPENDENT BROKERAGE SOLUTIONS LLC

BD
CRD#: 153563
NEW YORK, NY
Past

September 22, 2011 - April 2, 2012

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
NEW YORK, NY
Past

December 4, 2007 - September 1, 2009

XSHARES SECURITIES LLC

BD
CRD#: 141534
NEW YORK, NY
Past

April 19, 2005 - March 15, 2006

THE RIDERWOOD GROUP INCORPORATED

BD
CRD#: 16681
TOWSON, MD
Past

July 17, 2002 - November 14, 2003

TRANCEKA CAPITAL, LLC

BD
CRD#: 118028
SEATTLE, WA
Past

October 28, 1988 - May 3, 1990

WHARTON FINANCIAL CORP.

BD
CRD#: 7286
Past

May 16, 1988 - January 31, 1989

AMPAL SECURITIES CORPORATION

BD
CRD#: 11123
Past

March 22, 1988 - May 23, 1988

R.C. STAMM & CO., INC.

BD
CRD#: 11105
Past

June 18, 1985 - May 3, 1990

WHARTON FINANCIAL CORP.

BD
CRD#: 7286
Past

May 15, 1978 - June 11, 1985

CRALIN & CO., INC.

BD
CRD#: 7605
Past

August 24, 1973 - February 21, 1976

ENI CORPORATION

BD
CRD#: 5693
Past

March 1, 1973 - September 28, 1973

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/1/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/4/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 2/22/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/15/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 10/6/1975
General Securities Principal Examination

Current Firm

IB
INDEPENDENT BROKERAGE SOLUTIONS LLC
INDEPENDENT BROKERAGE SOLUTIONS LLC | SDDCO BROKERAGE ADVISORS LLC

CRD#: 153563 / SEC#: , 8-68549

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
485 Madison Avenue 15th Floor, New York, NY 10022
Mailing Address
485 Madison Avenue 15th Floor, New York, NY 10022
Phone number
(212) 751-4424
Established
New York since 12/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DFP PARTNERS CPA, P.C.MEMBER
FORTINO, ANGELINAFINOP/ PFO/CFO6869135
STEINBERG, MICHAEL NMNCEO/CCO1062776

Disclosures

Regulatory Event1

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.

Company Information

INDEPENDENT BROKERAGE SOLUTIONS LLC

CRD#: 153563

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