Brett A. Baffa
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.
Brett Anthony Baffa was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 2004. Brett had worked at 8 firms and has passed the Series 63, 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
May 3, 2017 - September 5, 2017
COVA CAPITAL PARTNERS LLC
December 13, 2010 - May 29, 2015
NYLIFE SECURITIES LLC
June 2, 2010 - June 11, 2010
NYLIFE SECURITIES LLC
August 13, 2009 - October 28, 2009
JOSEPH GUNNAR & CO. LLC
August 4, 2008 - September 9, 2008
GUNNALLEN FINANCIAL, INC
September 11, 2006 - January 7, 2008
A. G. EDWARDS & SONS, INC.
December 2, 2005 - July 19, 2006
J.P. TURNER & COMPANY, L.L.C.
January 3, 2005 - December 2, 2005
GREAT EASTERN SECURITIES, INC.
February 11, 2004 - September 28, 2004
AMERICAN CAPITAL PARTNERS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COVA CAPITAL PARTNERS LLC
CRD#: 109761 / SEC#: , 8-53105
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
