Stephen A. Gaffney
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.
Stephen Andrew Gaffney was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2002. Stephen had worked at 2 firms and has passed the Series 63, SIE, Series 79 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
July 6, 2011 - January 5, 2024
Q ADVISORS LLC
May 13, 2005 - February 12, 2007
Q ADVISORS LLC
October 6, 2002 - April 1, 2005
TRUIST SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
Q ADVISORS LLC
CRD#: 127232 / SEC#: , 8-65975
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
