John J. Taaffe
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.
John Joseph Taaffe, who also goes by Jack Taaffe, John Taaffe, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2016 - March 27, 2017
IFS SECURITIES
February 24, 2009 - September 30, 2016
LAWSON FINANCIAL CORPORATION
November 19, 2004 - April 1, 2005
OPPENHEIMER & CO. INC.
May 28, 1993 - December 9, 2004
LAWSON FINANCIAL CORPORATION
January 25, 1993 - April 6, 1993
GLOBAL CAPITAL SECURITIES CORPORATION
September 18, 1992 - January 25, 1993
KOBER FINANCIAL CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 1 |
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.
