Jeffrey A. Malfetti
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.
Jeffrey Anthony Malfetti, who also goes by Jeffrey A Malfetti, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1994. Jeffrey had worked at 4 firms and has passed the Series 63, Series 55 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 17, 2002 - July 20, 2004
BROKERAGEAMERICA, LLC
January 8, 2002 - June 14, 2002
SKEFFINGTON SECURITIES, L.L.C.
June 6, 2001 - November 27, 2001
FIRST NEW YORK SECURITIES L.L.C.
May 23, 1994 - May 29, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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
Series 55
Date: 8/3/1998
Limited Representative-Equity Trader ExamCurrent Firm
BROKERAGEAMERICA, LLC
CRD#: 47966 / SEC#: , 8-51997
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDREW GARRETT HOLDING CORP | OWNER | |
| CONSTANCE J UPCHURCH FAMILY TRUST | TRUST | |
| UPCHURCH, JESSE LLOYD | TRUSTEE | 4658478 |
| CAMILLO, DON THOMAS | PRESIDENT | 1771055 |
| DEFALCO, NORA | FINOP | 2297523 |
| GUIDETTI, SAMUEL ANTHONY III | SVP CHIEF COMPLIANCE OFFICER | 1834494 |
| MARTINEZ, ANTHONY JOSEPH | SVP HEAD OF TRADING OPERATIONS | 1568443 |
| MITCHELL, JAMES ROBERT JR | VICE PRESIDENT OF CUSTOMER SERVICE/OPERATIONS/SROP/CROP | 1374268 |
| SCHULDER, LAWRENCE MATTHEW | OPERATIONS MANAGER | 3010726 |
| SCHWARTZ, REVAN RICHARD | C.L.O. | 2748110 |
| SEFF, LESLIE S | C.O.O. | 417971 |
| SULLIVAN, MATTHEW DAVID | CFO | 2643274 |
| SULTAN, BORA | SENIOR VICE PRESIDENT OF STRATEGIC DEVELOPMENT AND EXECUTION QUALITY | 2043998 |
| SYCOFF, ANDREW GARRETT | C.E.O. | 2119089 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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