Jeffrey P. Braff
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.
Jeffrey Philip Braff was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1980. Jeffrey had worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2002 - July 7, 2021
VALLEY WEALTH MANAGERS, INC.
July 23, 1992 - March 29, 1993
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 29, 1988 - November 9, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 29, 1988 - November 9, 1990
PRUCO SECURITIES, LLC.
October 2, 1980 - September 22, 1986
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
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
VALLEY WEALTH MANAGERS, INC.
CRD#: 108879 / SEC#: 801-25461
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,957 |
| AUM (Assets Under Management) | $ 2,317,257,859 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 09/07/2023 | ||
| 10/04/2022 |
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.
