Charles H. Gaffney
Professional summary
Charles H Gaffney, who also goes by Charles Henry Gaffney Jr, Charles Gaffney, is a registered financial professional currently at JEFFERIES LLC located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1993. Charles has worked at 6 firms and has passed the Series 16 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles H Gaffney's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 3, 2023 - Present
JEFFERIES LLC
Office #1: 520 Madison Avenue, New York, NY 10022December 10, 2020 - September 5, 2023
E*TRADE SECURITIES LLC
June 1, 2009 - September 20, 2023
MORGAN STANLEY
June 1, 2004 - September 20, 2023
MORGAN STANLEY & CO. LLC
August 24, 2000 - June 9, 2004
LEHMAN BROTHERS INC.
June 24, 1998 - August 22, 2000
PERSHING LLC
June 9, 1993 - June 24, 1998
MORGAN STANLEY & CO. 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
FINRA
NYSE American LLC
New York Stock Exchange
Current Firm
JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
Red Flags
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