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AJ

Ajaz H. Jafri

JOSEPH STONE CAPITAL L.L.C.
New York, NY 10006
Some features on this profile are disabled
CRD#: 6652929
AJ

Professional summary

Ajaz H Jafri, who also goes by Ajaz Jafri, is a registered financial professional currently at JOSEPH STONE CAPITAL L.L.C. located in New York, New York.

Ajaz is registered as a RR (Registered Representative) and started their career in finance in 2016. Ajaz has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ajaz Jafri

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 Ajaz H Jafri's CRS (Customer Relationship Summary).
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

September 20, 2024 - Present

JOSEPH STONE CAPITAL L.L.C.

Office #1: 29 Broadway Suite 1800, New York, NY 10006
BD
CRD#: 159744
New York, NY
Past

September 29, 2023 - December 10, 2023

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 14, 2022 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
NEW YORK, NY
Past

August 25, 2020 - December 24, 2021

JOSEPH STONE CAPITAL L.L.C.

BD
CRD#: 159744
NEW YORK, NY
Past

June 10, 2016 - November 20, 2018

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(9/20/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/2/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/10/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 5/8/2013
National Commodity Futures Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

JS
JOSEPH STONE CAPITAL L.L.C.
JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744 / SEC#: , 8-69014

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
585 Stewart Ave Suite L60c, Garden City, NY 11530
Mailing Address
585 Stewart Ave Suite L60c, Garden City, NY 11530
Phone number
(516) 267-7001
Established
Delaware since 11/04/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPMM HOLDINGS L.L.C.HOLDING COMPANY
GRAZIANO, ANTHONY JOSEPHCCO2862096
MAGGIO, DAMIANCEO2864247
NIXON, JON ALANFINOP4710715

Disclosures

Regulatory Event5
Arbitration3

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.

Company Information

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744New York, NY 10006

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