Mark L. Jaffe

JAFFE FINANCIAL SERVICES

ASHLAND, OR 97520

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CRD#: 2433927

Professional summary

Mark Laurence Jaffe, CFP®, who also goes by Mark L Jaffe, is a registered financial advisor currently at JAFFE FINANCIAL SERVICES, LLC located in Ashland, Oregon.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Mark has worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark L Jaffe

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.

SALE OF LIFE & HEALTH INSURANCE AS A LICENSED INSURANCE AGENT. LICENSED PROPERTY & CASUALTY INSURANCE AGENT. NO LONGER INVOLVED IN PROPERTY & CASUALTY INSURANCE BUSINESS. FINANCIAL PLANNING AND INVESTMENT ADVISORY FOR FEE THROUGH JAFFE FINANCIAL SERVICES, LLC A REGISTERED INVESTMENT ADVISOR (REGISTERED W/STATE OF CALIFORNIA).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Laurence Jaffe's 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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

November 2, 2005 - Present

JAFFE FINANCIAL SERVICES, LLC

Office #1: 2305c Ashland Street #426, Ashland, OR 97520

RIA

CRD#: 136447

ASHLAND, OR

Past

January 3, 2006 - October 3, 2006

SECURITIES AMERICA, INC.

CRD#: 10205

WESTLAKE VILLAGE, CA

Past

August 8, 2000 - January 25, 2006

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

November 29, 1996 - December 31, 1999

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

October 25, 1996 - November 18, 1996

LOCUST STREET SECURITIES, INC.

CRD#: 1703

Past

March 22, 1994 - October 24, 1996

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/2/2005)

IAR

Oregon
(3/4/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/17/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/11/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/21/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JAFFE FINANCIAL SERVICES, LLC

CRD#: 136447 / SEC#:

California

Registered Investment Advisory firm - (11/2/2005 Approved)

Oregon

Registered Investment Advisory firm - (3/4/2013 Approved)

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Contact information

Main Address

Talent, OR

Mailing Address

Phone number

(541) 414-9762

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 26,000,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Oregon	ERA - Withdrawn	11/6/2012

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

Mark L. Jaffe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Laurence Jaffe's CRS (Customer Relationship Summary).

Certified licenses

Experience

JAFFE FINANCIAL SERVICES, LLC

SECURITIES AMERICA, INC.

OSAIC WEALTH, INC.

LOCUST STREET SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/17/1997

Series 7

Date: 2/11/2002

Series 6

Date: 3/21/1994

Current Firm

JAFFE FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

JAFFE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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