Stanley H. Jaffee
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.
Stanley Howard Jaffee was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1967. Stanley had worked at 9 firms and has passed the Series 66, Series 65, Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2013 - November 18, 2013
SIGNATOR INVESTORS, INC.
May 31, 2011 - July 10, 2012
UBS FINANCIAL SERVICES INC.
May 2, 2011 - July 10, 2012
UBS FINANCIAL SERVICES INC.
June 1, 2009 - May 11, 2011
MORGAN STANLEY
June 1, 2009 - May 11, 2011
MORGAN STANLEY
May 28, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 24, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
May 20, 2008 - April 29, 2009
MORGAN KEEGAN & COMPANY, LLC
January 9, 2008 - April 29, 2009
MORGAN KEEGAN & COMPANY, LLC
January 3, 2006 - January 10, 2008
NORTHERN TRUST SECURITIES, INC.
May 5, 1994 - December 15, 1999
UBS FINANCIAL SERVICES INC.
October 13, 1978 - May 9, 1994
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - November 11, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 19, 1967 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 12/7/1978
AMEX Put and Call ExamSeries 1
Date: 6/16/1967
Registered Representative ExaminationCurrent Firm
SIGNATOR INVESTORS, INC.
CRD#: 468 / SEC#: 801-56298, 8-13995
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ARMSTRONG, ABIGAIL MARIE | VICE PRESIDENT, COUNSEL AND ASST SECRETARY | 1239945 |
| CAPPUCCIO, PAUL ANTHONY | ASSISTANT VICE PRESIDENT | 2151678 |
| COLLINS, BRIAN DOUGLAS | VICE PRESIDENT | 6445623 |
| DORVAL, STEVEN FRANCIS | DIRECTOR | 4163630 |
| HORACK, THOMAS JOSEPH | VP & DIRECTOR | 861315 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| KWONG-LOI, YIU | ASSISTANT SECRETARY | 6639555 |
| LANNIGAN, TRACY KANE | SECRETARY | 6944688 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT & DIRECTOR | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER & TREASURER | 4364402 |
| SCORPIO, CARON MARIE | ASSISTANT VICE PRESIDENT | 4275948 |
| SPADAFORA, CRAIG ALAN | DIRECTOR | 3184320 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4612910 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
| TUCKER, BRIAN THOMAS | ASSISTANT SECRETARY | 2285090 |
| VACON, MELISSA M | VICE PRESIDENT & DIRECTOR | 6189199 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 12 |
| Bond | 1 |
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.
