Jeffrey P. Flaster
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 Peter Flaster was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1971. Jeffrey had worked at 8 firms and has passed the Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 1990 - December 31, 1991
IICC - TRADECO, INC.
October 29, 1990 - August 6, 2012
O'BRIEN & SHEPARD, INC.
July 11, 1990 - October 23, 1990
CHAPDELAINE TULLETT PREBON, LLC
March 13, 1990 - June 12, 1990
O'BRIEN & SHEPARD, INC.
February 23, 1990 - June 12, 1990
IICC - TRADECO, INC.
March 31, 1989 - May 22, 1989
PACIFIC SECURITIES, INC.
September 20, 1982 - August 31, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 1982 - October 20, 1982
RUSSELL & CO
October 5, 1976 - January 13, 1982
SCHRODER & CO. INC.
June 23, 1971 - October 13, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 1
Date: 11/20/1967
Registered Representative ExaminationCurrent Firm
IICC - TRADECO, INC.
CRD#: 13205 / SEC#: , 8-28799
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTITUTIONAL INVESTORS CONSULTING | OWNER | |
| MAPLES, THOMAS ROY | FINOP / CCO | 4180850 |
Disclosures
| Regulatory Event | 4 |
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.
