Tara A. Zaffino
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.
Tara Ann Zaffino, who also goes by Tara Ann Tabaccu, Tara Ann Tabback, was a registered financial professional .
Tara is a previously registered financial professional and started their career in finance in 2001. Tara had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 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 8, 2016 - August 17, 2017
DAVID LERNER ASSOCIATES, INC.
January 22, 2016 - July 6, 2016
UBS FINANCIAL SERVICES INC.
January 20, 2016 - July 6, 2016
UBS FINANCIAL SERVICES INC.
June 1, 2009 - February 5, 2016
MORGAN STANLEY
June 1, 2009 - February 5, 2016
MORGAN STANLEY
June 24, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 23, 2001 - April 2, 2007
MORGAN STANLEY DW 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
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
