Marshall Robert Jaffe
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
JAFFE ASSET MANAGEMENT LLC
Contact Information
Main Address
9454 Wilshire Blvd Ste M-1, Beverly Hills, CA 90212Phone Number
(310) 858-0700# of Employees
2SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
149AUM (Assets Under Management)
$116,219,162Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
JAFFE ASSET MANAGEMENT LLC
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Sep 1977Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jul 1987Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Marshall Robert Jaffe's CRS (Customer Relationship Summary).
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