Robert Kaffey
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.
Robert Kaffey, who also goes by Harold Kaflowitz, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 23 firms and has passed the Series 65, Series 63, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2011 - September 17, 2014
J. W. COLE ADVISORS, INC.
September 17, 2010 - September 17, 2014
J.W. COLE FINANCIAL, INC.
July 26, 2006 - September 17, 2010
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
November 14, 2005 - September 17, 2010
LASALLE ST SECURITIES, L.L.C.
May 21, 2004 - November 14, 2005
PURSHE KAPLAN STERLING INVESTMENTS
November 21, 2003 - January 5, 2007
ROBERT KAFFEY & ASSOCIATES
February 22, 2002 - May 21, 2004
MAIN STREET MANAGEMENT COMPANY
February 1, 2001 - February 22, 2002
CADARET, GRANT & CO., INC.
August 1, 1990 - February 8, 2001
SECURITIES AMERICA, INC.
May 18, 1990 - August 2, 1990
TITAN/VALUE EQUITIES GROUP, INC.
July 14, 1988 - May 18, 1990
JONATHAN ALAN & CO., INC.
April 5, 1988 - July 28, 1988
WESTMORELAND CAPITAL CORPORATION
May 12, 1986 - July 25, 1988
NORTH AMERICAN INVESTMENT CORP.
November 20, 1985 - May 23, 1986
STEVEN ANDREW & COMPANY, INC.
April 18, 1985 - January 1, 1986
BRODIS SECURITIES INCORPORATED
July 14, 1983 - April 8, 1985
EMPIRE NATIONAL SECURITIES, INCORPORATED
August 10, 1977 - April 18, 1983
FITTIN, CUNNINGHAM & LAUZON, INC.
November 4, 1974 - September 8, 1977
FIRST JERSEY SECURITIES, INC.
August 6, 1974 - December 1, 1974
MAYFLOWER SECURITIES CON INC
July 6, 1973 - October 12, 1974
ILICOB SALES CORPORATION
September 19, 1972 - August 24, 1973
FORESTERS FINANCIAL SERVICES, INC.
June 2, 1970 - October 27, 1972
PIEDMONT CAPITAL CORPORATION
April 9, 1970 - March 12, 1976
CIP, INC. C/O GALPEER, ALTUS & KARP
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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
Current Firm
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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.
