Marshall R. Jaffe

JAFFE ASSET MANAGEMENT LLC

Beverly Hills, CA 90212

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CRD#: 827555

Professional summary

Marshall Robert Jaffe is a registered financial advisor currently at JAFFE ASSET MANAGEMENT LLC located in Beverly Hills, California.

Marshall is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Marshall has worked at 3 firms and has passed the Series 65, Series 63, PC, Series 7 and Series 8 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.

Real estate investors; investment-related; 9454 Wilshire Blvd., Ste. M-1, Beverly Hills, CA 90212; passive investor in SFRs; partner; since 2012; 0.5 hours per month during non-trading hours; passive investor - no other involvement.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marshall Robert 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

December 13, 2011 - Present

JAFFE ASSET MANAGEMENT LLC

Office #1: 9454 Wilshire Blvd Ste M-1, Beverly Hills, CA 90212

RIA

CRD#: 108082

Beverly Hills, CA

Past

January 31, 1980 - August 25, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 22, 1976 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

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

California
(12/13/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/1/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 9/2/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 9/18/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/7/1987

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

JAFFE ASSET MANAGEMENT LLC

CRD#: 108082 / SEC#: 801-55405

RIA

Registered Investment Advisory firm - (5/11/2012 Terminated)

California

Registered Investment Advisory firm - (5/7/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

9454 Wilshire Blvd Ste M-1, Beverly Hills, CA 90212

Mailing Address

Phone number

(310) 858-0700

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	149
AUM (Assets Under Management)	$ 98,340,715

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.

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Marshall R. Jaffe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marshall Robert Jaffe's CRS (Customer Relationship Summary).

Certified licenses

Experience

JAFFE ASSET MANAGEMENT LLC

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/1993

Series 63

Date: 1/17/1980

PC

Date: 9/2/1977

Series 7

Date: 9/18/1976

Series 8

Date: 7/7/1987

Current Firm

JAFFE ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JAFFE ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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