Yale R. 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.
Yale Robin Jaffe, who also goes by Yale Jaffe, was a registered financial professional .
Yale is a previously registered financial professional and started their career in finance in 1993. Yale had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - January 20, 2021
TD AMERITRADE, INC.
February 26, 2018 - January 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - January 20, 2021
TD AMERITRADE, INC.
January 24, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
May 20, 2015 - February 26, 2018
SCOTTRADE, INC.
February 15, 2012 - May 18, 2015
TD AMERITRADE, INC.
February 15, 2012 - May 18, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 15, 2012 - May 18, 2015
TD AMERITRADE, INC.
July 5, 2011 - March 1, 2012
LPL FINANCIAL LLC
July 5, 2011 - March 1, 2012
LPL FINANCIAL LLC
August 26, 2004 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
August 26, 2004 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
June 9, 1999 - September 13, 2004
MESIROW FINANCIAL, INC.
May 28, 1999 - September 13, 2004
MESIROW FINANCIAL, INC.
September 9, 1993 - June 3, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
