Harry Jaffe
Professional Summary
Harry Jaffe, who also goes by Harry Mark Jaffe, is a registered financial advisor currently at THIRD SEVEN CAPITAL LLC located in Greenwich, Connecticut. Harry is registered as a RR (Registered Representative) and started their career in finance in 2005. Harry has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 14, Series 24 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Harry Mark Jaffe
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC
Contact Information
Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830Phone Number
(917) 602-6153Established
Delaware since 07/06/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/29/2022)
(8/23/2022)
(9/29/2022)
(2/9/2024)
(9/29/2022)
(8/23/2022)
(9/29/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jul 2008About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Harry Jaffe's CRS (Customer Relationship Summary).
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