Steve G. Jaffe

ICE BONDS SECURITIES

NEW YORK, NY 10105

Some features on this profile are disabled

CRD#: 5305029

Professional summary

Steve G. Jaffe is a registered financial professional currently at ICE BONDS SECURITIES CORPORATION located in New York, New York.

Steve is registered as a RR (Registered Representative) and started their career in finance in 2007. Steve has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steve G. Jaffe's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 5, 2018 - Present

ICE BONDS SECURITIES CORPORATION

Office #1: 1345 Avenue Of The Americas 8th Floor, New York, NY 10105

CRD#: 123635

NEW YORK, NY

Past

February 25, 2015 - May 24, 2018

BREAN CAPITAL, LLC

CRD#: 23723

NEW YORK, NY

Past

October 31, 2011 - January 23, 2015

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Past

September 29, 2009 - September 26, 2011

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

October 1, 2008 - October 1, 2009

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 4, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Georgia
(5/9/2022)

Louisiana
(5/9/2022)

New York
(6/5/2018)

Ohio
(5/9/2022)

Virginia
(5/9/2022)

Exams

State Security Law Exam

Series 63

Date: 6/7/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/5/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/3/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/7/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ICE BONDS SECURITIES CORPORATION

CREDITEX SECURITIES CORPORATION | ICE TMC | ICE BONDS SECURITIES CORPORATION | ICE BONDPOINT | CREDITTRADE SECURITIES CORPORATION

CRD#: 123635 / SEC#: , 8-65601

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1345 Avenue Of The Americas 8th Floor, New York, NY 10105

Mailing Address

1345 Avenue Of The Americas 7th Floor, New York, NY 10105

Phone number

(646) 237-4328

Established

Delaware since 04/18/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CREDITTRADE INC.	SHAREHOLDER
BORSTELMANN, PETER L	PRESIDENT/DIRECTOR	4825965
EILEN, JEFFREY PHILIP	CHIEF COMPLIANCE OFFICER	6149705
FICARRA, THOMAS JOSEPH	DIRECTOR	5502295
LANSING, RYAN WILLIAM	DIRECTOR	5408916
MCKISSICK, JOHN JOSEPH	PRINCIPAL OPERATIONS OFFICER	4939416
THOMASSON, SEAN JOSEPH	FINANCIAL PRINCIPAL	5124423

Disclosures

Regulatory Event

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steve G. Jaffe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steve G. Jaffe's CRS (Customer Relationship Summary).

Certified licenses

Experience

BREAN CAPITAL, LLC

GUGGENHEIM SECURITIES, LLC

TD SECURITIES (USA) LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/7/2007

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/5/2012

Series 7

Date: 5/3/2007

Series 24

Date: 3/7/2019

FINRA

Current Firm

ICE BONDS SECURITIES CORPORATION

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ICE BONDS SECURITIES CORPORATION

TRUST BUT VERIFY

Similar Advisors