Robert M. Jaffe
Professional summary
Robert Martin Jaffe was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1969. Prior to being barred, Robert had worked at 3 firms, which includes COHMAD SECURITIES CORPORATION, FINANCIAL SQUARE PARTNERS, E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 1989 - June 18, 2009
COHMAD SECURITIES CORPORATION
April 7, 1980 - October 30, 1989
FINANCIAL SQUARE PARTNERS
May 2, 1969 - May 3, 1980
E. F. HUTTON & COMPANY INC
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 5
Date: 8/20/1985
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 4/29/1969
Registered Representative ExaminationSeries 12
Date: 9/1/1977
NYSE Branch Manager ExaminationCurrent Firm
COHMAD SECURITIES CORPORATION
CRD#: 16307 / SEC#: , 8-33674
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COHN, MAURICE JAY | CHAIRMAN CHIEF EXECUTIVE OFFICER | 1313085 |
| COHN, MARCIA BETH | PRESIDENT CHIEF OPERATING OFFICER CHIEF COMPLIANCE OFFICER SROP,CROP,FINOP | 1049032 |
| MADOFF, BERNARD LAWRENCE | DIRECTOR | 316687 |
| MADOFF, PETER BARNETT | DIRECTOR | 316688 |
| BUCCELLATO, ROSALIE | PRINCIPLE | 848124 |
| COHN, MILTON SEYMOUR | DIRECTOR | 1477771 |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
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