JW
Jeffrey T. Weintraub
DR. JEFF FINANCE
Rye Brook, NY
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CRD#: 7867578
JW
Professional summary
Jeffrey T Weintraub is a registered financial advisor currently at DR. JEFF FINANCE, LLC located in Rye Brook, New York.
Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Jeffrey has worked at 1 firm and has passed the Series 65 and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Dr. Weintraub is currently employed as the owner of Dr. Jeff Finance, LLC. Dr. Weintraub spends <5% of his time continuing to work clinically as a bedside emergency physician (employee) at Greenwich Hospital in Greenwich, CT. He has been serving in this non investment-related role since May 1999. His hours each month are variable based on needs in the emergency department setting, but typically range between four and 16 hours per month and typically <4 hours/month during securities trading hours. As part of his role working for Dr. Jeff Finance, LLC, Dr. Weintraub prepares personal income tax returns for Client's that desire this service. Dr. Weintraub is a participant in the IRS Annual Filing Season Program and is included in a public database of return preparers on the IRS website. He has an active preparer tax identification (PTIN) number and obtained 18 hours of continuing education, including a sic hour federal tax law refresher course with test. He has limited representation rights with the IRS, meaning he can represent clients whose returns he prepared and signed before revenue agents, customer service representatives, and similar IRS employers, including Taxpayer Advocate Service. Dr. Weintraub spends <5% of his time performing tax preparation and these hours are typically not spent during securities trading hours. In 2023, Dr. Weintraub obtained a Life/Accident & Health Agent insurance license in New York State (although currently inactive) as a service to his Clients in order to assist any Clients that may have the desire to purchase these products, and therefore avoiding the need for the Clients to seek out a different individual to provide these services. When the license becomes active, as part of his role working for Dr. Jeff Finance, LLC, Dr. Weintraub could receive customary commissions and other related revenues from the various insurance companies whose products are sold. Dr. Weintraub is not required to offer the products of any particular insurance company. Commissions generated by insurance sales do not offset regular advisory and planning fees. This may present a conflict of interest in recommending certain products of the insurance companies, but Dr. Weintraub will act in a fiduciary role if recommending insurance products and will only make recommendations if they are in the best interests of the Client. Clients are under no obligation to implement any recommendations made by Dr. Weintraub or use his services to purchase these types of products from him. When the license becomes active Dr. Weintraub will spend <5% of his time per month in this capacity and these hours will typically not be spent during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey T Weintraub'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®
NoneExperience
Current
April 12, 2024 - Present
DR. JEFF FINANCE, LLC
RIA
CRD#: 330181
Rye Brook, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
New York(4/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
DJ
DR. JEFF FINANCE, LLC
DR. JEFF FINANCE, LLC
CRD#: 330181 / SEC#:
New York
Registered Investment Advisory firm - (4/12/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Rye Brook, NY
Mailing Address
Phone number
(914) 433-4864
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 3,600,000 |
Red Flags
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