Louis S. Jaffe

KINGSROCK SECURITIES LLC

NEW YORK, NY 10022

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CRD#: 2310182

Professional summary

Louis Steven Jaffe is a registered financial professional currently at KINGSROCK SECURITIES LLC located in New York, New York.

Louis is registered as a RR (Registered Representative) and started their career in finance in 1993. Louis has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 82TO, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Louis Steven Jaffe's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 13, 2023 - Present

KINGSROCK SECURITIES LLC

Office #1: 900 Third Avenue - Suite 1801, New York, NY 10022Office #2: 900 Third Avenue, Suite 1801, New York, NY 10022

CRD#: 325143

NEW YORK, NY

Past

July 31, 2020 - September 29, 2023

REVA CAPITAL MARKETS LLC

CRD#: 105791

NEW YORK, NY

Past

June 7, 1999 - August 12, 2015

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

February 17, 1993 - June 7, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/16/2024)

Connecticut
(3/10/2025)

New Jersey
(5/16/2025)

New York
(11/10/2023)

North Carolina
(8/6/2024)

Texas
(4/30/2024)

Exams

State Security Law Exam

Series 63

Date: 6/19/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 9/13/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 9/25/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 82TO

Date: 7/30/2020

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 3

Date: 7/1/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/1/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 9/1/2005

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/3/2005

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

KINGSROCK SECURITIES LLC

CRD#: 325143 / SEC#: , 8-71064

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

900 Third Avenue, Suite 1801, New York, NY 10022

Mailing Address

900 Third Avenue, Suite 1801, New York, NY 10022

Phone number

(917) 992-4544

Established

Delaware since 01/20/2023

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (6 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
KINGSROCK ADVISORS LLC	MEMBER
GOODE, JACQUELINE MARIE	CCO	1292607
JAFFE, LOUIS STEVEN	CHIEF EXECUTIVE OFFICER & MANAGING PARTNER	2310182
PLOTYCIA, STEVEN WILLIAM	FINOP/POO/PFO	5293014
WOHLIN, HAKAN NILS	MANAGING PARTNER	2329972

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.

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Firm Stability Insights

Louis S. Jaffe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Louis Steven Jaffe's CRS (Customer Relationship Summary).

Certified licenses

Experience

REVA CAPITAL MARKETS LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/19/2020

Series 99TO

Date: 9/13/2023

Series 79TO

Date: 9/25/2020

Series 82TO

Date: 7/30/2020

Series 3

Date: 7/1/2009

Series 7

Date: 2/1/1993

Series 24

Date: 6/2/2023

Series 10

Date: 9/1/2005

Series 9

Date: 8/3/2005

FINRA

Current Firm

KINGSROCK SECURITIES LLC

Contact information

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

KINGSROCK SECURITIES LLC

TRUST BUT VERIFY

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