Allison Jaffe Email & Phone Number
Principal and Director of Compliance Programs @ 3iCO, LLC
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Allison Jaffe Location
- New York, NY, US
Allison Jaffe Work
- 2018 -now Principal and Director of Compliance Programs @
- 2013 -2015 Chief Compliance Officer @ Larkin Point Investment Advisors LLC
- 2009 -2013 Managing Member and CCO and Co-President @ NativeOne Institutional Trading, LLC
- 2008 -2008 Compliance: Regional Supervisor, AML Officer, Firm Element Continuing Education Supervisor @ First Montauk Securities Corp
- 2001 -2008 Senior Stock Loan Associate @ KV Execution Services
- 1995 -2001 Syndicate Manager @ First Montauk Securities Corp
Allison Jaffe Education
- University of Dayton, Ohio
BS (Communication Management)
1988-1992 - Pittsford Sutherland 1987-1988
Allison Jaffe Skills
- Series 7
- Trading
- Series 63
- Series 24
- AML
- Investments
- FINRA
- Securities
- Fixed Income
- Securities Lending
- Compliance
- Asset Management
- Mutual Funds
- SEC
- Institutional
- Financial Services
Allison Jaffe Summary
- Allison Jaffe, based in New York, NY, US, is currently a Principal and Director of Compliance Programs at 3iCO. Allison Jaffe brings experience from previous roles at Larkin Point Investment Advisors LLC, NativeOne Institutional Trading, LLC, First Montauk Securities Corp and KV Execution Services. Allison Jaffe holds a 1988 - 1992 BS in Communication Management @ University of Dayton, Ohio. With a robust skill set that includes Series 7, Trading, Series 63, Series 24, AML and more. Allison Jaffe has 2 emails and 2 mobile phone numbers on RocketReach.
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