David A Yaffee

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2018 → 04/2020
  Pruco Securities, Llc
  Vernon, CT
• 01/2018 → 04/2020
  The Prudential Insurance Company Of America
  Vernon, CT
• 10/2015 → 10/2016
  Unemployed
  Vernon, CT
• 10/2016 → Present
  Yaffee & Associates
  Vernon, CT
• 04/2020 → 12/2022
  Lpl Financial Llc
  Vernon, CT
• 04/2020 → 12/2022
  Webster Bank
  Vernon, CT
• 01/2023 → Present
  The Prudential Insurance Company Of America
  Glastonbury, CT
• 01/2023 → 11/2024
  Pruco Securities, Llc
  Glastonbury, CT
• 11/2024 → Present
  Lpl Enterprise, Llc
  Glastonbury, CT

Previous Registrations

• 2023-01-03 → 2024-11-14
  Pruco Securities, Llc.
  Glastonbury, CT
  Vernon, CT
• 2020-04-27 → 2023-01-18
  Lpl Financial Llc
  Vernon, CT
  East Windsor, CT
  Bloomfield, CT
  Poquonock, CT
• 2018-01-25 → 2020-04-27
  Pruco Securities, Llc.
  Glastonbury, CT
  Vernon, CT
• 2012-09-28 → 2015-10-28
  Osaic Institutions, Inc.
  South Windsor, CT
  Meriden, CT
  West Springfield, MA
  Glastonbury, CT
  East Windsor, CT
  Enfield, CT
  Manchester, CT
  Vernon, CT
  Somers, CT
  Rockville, CT
  Coventry, CT
  Enfield, CT
  Vernon, CT
  Suffield, CT
  Manchester, CT
  Enfield, CT
  Ellington, CT
  East Windsor, CT
  Tolland, CT
  Manchester, CT
  Colchester, CT
  South Glastonbury, CT
  South Windsor, CT
  Indian Orchard, MA
  Whitinsville, MA
  West Hartford, CT
  Enfield, CT
• 2009-08-05 → 2012-10-01
  People'S Securities, Inc.
  Bridgeport, CT
  Vernon, CT
  Bridgeport, CT
  Vernon, CT
  Vernon, CT
  South Windsor, CT
  East Hartford, CT
  Manchester, CT
  Enfield, CT
  Enfield, CT
  Windsor, CT
  Windsor, VT
  Hartford, CT
• 2007-04-12 → 2009-07-28
  Connecticut Investment Management
  Vernon, CT
• 2006-02-14 → 2007-04-05
  Newalliance Investments, Inc.
  Vernon, CT
  New Haven, CT
  New Haven, CT
  Enfield, CT
  East Windsor, CT
  East Windsor, CT
• 2004-08-11 → 2006-02-13
  Voya Financial Partners, Llc
  Cromwell, CT
• 2001-01-04 → 2002-11-21
  A. G. Edwards & Sons, Inc.
  Farmington, CT

Other Businesses

2) 10/05/2021 - current 36 Watson Road Vernon CT 06066, POA for Mother, Pay bills and have POA on her savings and checking account; 2 hours per month; non-inv rel YAFFEE & ASSOCIATES, LLC POSITION: Owner NATURE: Sales and Training INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2016 ADDRESS: 36 Watson Road, Vernon CT 06066, United States DESCRIPTION: Musical Instruments Sales and Training

Exams

• S63 Uniform Securities Agent State Law Examination
  2018-01-22
• S66 Uniform Combined State Law Examination
  2000-11-02

Other Names

• David Aaron Yaffee
• David A Yaffee