Harold W. Jaffe
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.
Harold William Jaffe, who also goes by Harold W Jaffe, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 2007. Harold had worked at 6 firms and has passed the Series 66, 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, 2021 - December 8, 2023
SYMPHONIC FINANCIAL ADVISORS LLC
May 3, 2021 - December 8, 2023
SYMPHONIC SECURITIES LLC
May 12, 2010 - August 22, 2011
BSCG ADVISORS, LLC
April 29, 2010 - May 16, 2019
INDEPENDENT FINANCIAL GROUP, LLC
April 28, 2010 - May 16, 2019
INDEPENDENT FINANCIAL GROUP, LLC
April 5, 2007 - April 28, 2010
AFA ADVISOR SERVICES LLC
February 2, 2007 - April 28, 2010
AFA FINANCIAL GROUP, LLC
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
SYMPHONIC FINANCIAL ADVISORS LLC
CRD#: 135603 / SEC#: 801-64456
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,234 |
| AUM (Assets Under Management) | $ 125,189,685 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2023 | ||
| 09/28/2022 | ||
| 11/29/2021 |
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.
