Marshall Jaffe has been Manager/Chief Compliance Officer of Jaffe Asset Management since March 1998, is a control person of the firm and directly owns 75% or more of it.
Jaffe Asset Management LLC is a Beverly Hills, CA firm with $116M under management, 58 clients and 1 adviser in one office, as of its June 2026 filing.
- Jaffe Asset Management LLCCurrent– present · 14 yearsBeverly Hills, CA · Adviser representative · Firm CRD 108082
Investment adviser representative registrations
Marshall Jaffe is registered as an investment adviser representative in California, since December 2011.
- CaliforniaSince 13 December 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 1 October 1993 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 7 July 1987 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 January 1980 |
| PC | AMEX Put and Call Exam | 2 September 1977 |
| Series 7 | General Securities Representative Examination | 18 September 1976 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- AMEX Put and Call Exam
- Name
- General Securities Representative Examination
- Full name
- Marshall Robert Jaffe
- CRD
- 827555
- Firm
- Jaffe Asset Management · CRD 108082
- Role
- Manager/Chief Compliance Officer
- Office
- 9454 WILSHIRE BLVD, STE M-1, Beverly Hills, CA 90212
- Registration
- Investment adviser registration
- In the industry since
- December 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Marshall Jaffe work?
Marshall Jaffe has been Manager/Chief Compliance Officer of Jaffe Asset Management LLC since March 1998, and is a control person of the firm.
Is Marshall Jaffe a financial advisor?
Yes. Marshall Jaffe has a current investment-adviser registration in California, through Jaffe Asset Management since December 2011.
How many years of experience does Marshall Jaffe have?
Marshall Jaffe has 14 years in the financial industry, since December 2011, across 1 adviser firm.
What exams has Marshall Jaffe passed?
Marshall Jaffe has passed 5 licensing exams: the Series 7, PC, Series 63, Series 8 and Series 65. The earliest, the Series 7, was passed in September 1976.
Where is Marshall Jaffe based?
Marshall Jaffe’s registered office is in Beverly Hills, CA.
Is Marshall Jaffe registered with FINRA?
No. Marshall Jaffe has no current broker registration.
How can I verify Marshall Jaffe’s record?
Search CRD 827555 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Marshall Jaffe’s full registration record.