Joseph S. Saffrin
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.
Joseph Stephen Saffrin, who also goes by Joe Saffrin, Joseph S Saffrin, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2014. Joseph had worked at 5 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
April 1, 2020 - June 9, 2021
THE LEADERS GROUP, INC.
April 3, 2018 - June 7, 2022
CG ADVISORY SERVICES
April 6, 2015 - April 9, 2018
QUESTAR ASSET MANAGEMENT, INC.
April 6, 2015 - April 9, 2018
QUESTAR CAPITAL CORPORATION
May 5, 2014 - October 23, 2014
PRINCIPAL SECURITIES, INC.
January 4, 2014 - October 23, 2014
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
