Natalie L. Jaffe
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.
Natalie Lehrner Jaffe was a registered financial professional .
Natalie is a previously registered financial professional and started their career in finance in 1993. Natalie had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2005 - December 31, 2005
INVESTORS CAPITAL CORP.
June 19, 2001 - June 16, 2005
EASTERN POINT ADVISORS INC.
November 29, 1999 - December 13, 2013
INVESTORS CAPITAL CORP.
June 7, 1994 - November 29, 1999
AMERICAN INVESTORS COMPANY
August 31, 1993 - April 19, 1994
IDS LIFE INSURANCE COMPANY
August 31, 1993 - April 19, 1994
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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