Barbara L. Jaffess
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.
Barbara Lynn Jaffess was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1979. Barbara had worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 1979 - September 22, 2023
SHEARMAN, RALSTON INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SHEARMAN, RALSTON INC.
CRD#: 7320 / SEC#: , 8-21190
Contact information
FINRA licenses (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 42 |
| AUM (Assets Under Management) | $ 97,678,492 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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