Jerome L. Garffer
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.
Jerome Lamont Garffer was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 2002. Jerome had worked at 7 firms and has passed the Series 63, Series 65, Series 79TO, Series 99TO, Series 50, SIE 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
December 2, 2022 - December 31, 2023
RD CAPITAL GROUP, INC.
July 14, 2015 - July 8, 2021
BOOMERANG CAPITAL LLC
March 21, 2014 - September 29, 2014
WELBORN CAPITAL LLC
March 11, 2011 - July 31, 2013
WELBORN CAPITAL LLC
April 17, 2009 - March 14, 2011
SGMA CAPITAL MARKETS LIMITED
February 12, 2007 - March 13, 2009
HFV INVESTMENTS, LLC
July 15, 2005 - January 4, 2007
AT INVESTOR SERVICES, INC.
January 7, 2002 - July 15, 2005
GPC SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 4/8/2024
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 7/19/2023
Operations Professional ExaminationCurrent Firm
RD CAPITAL GROUP, INC.
CRD#: 37470 / SEC#: , 8-47759
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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