CLARFELD FINANCIAL ADVISORS, LLC of TARRYTOWN, NY is an SEC-registered investment adviser (CRD 106743). Regulatory assets under management: $16.6B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
Showing 25 of 36 people.
| Name | Role | Location |
|---|---|---|
| Chad Arnold | CHIEF OPERATING OFFICER | Lafayette, CO |
| Anthony Lorenzo Schembri | DIRECTOR OF INVESTMENT OPERATIONS | — |
| Michael D Hans | CHIEF INVESTMENT OFFICER | — |
| Donna Marie Cuiffo | CHIEF FINANCIAL OFFICER | — |
| Richard Tino Suarez | CHIEF EXECUTIVE OFFICER | — |
| Robert Anthony Varriano | CHIEF OPERATING OFFICER | — |
| David Howard Shore | CHIEF COMPLIANCE OFFICER | — |
| PRICE III WILLIAM S | VICE PRESIDENT | — |
| CLARFELD ROBERT A | CHAIRMAN,PRESIDENT,CHIEF EXECUTIVE OFFICER; PRESIDENT,DIRECTOR; SHAREHOLDER | — |
| CUIFFO DONNA M | CHIEF FINANCIAL OFFICER; DIRECTOR,CHIEF FINANCIAL OFFICER; SENI0R VICE PRESIDENT,CHIEF FINANCIAL OFFICER (+2 more) | — |
| WROBLESKI PAUL J | DIRECTOR/VICE PRESIDENT; DIRECTOR/VICE PRESIDENT, DIRECTOR OF TAX; EXECUTIVE VICE PRESIDENT, DIRECTOR OF TAX (+2 more) | — |
| VARRIANO ROBERT A | DIRECTOR OF FINANCIAL PLANNING; SENIOR VICE PRESIDENT, DIRECTOR OF FINANCIAL PLANNING; SHAREHOLDER/DIRECTOR OF FINANCIAL PLANNING (+1 more) | — |
| SUAREZ RICHARD T | DIRECTOR OF INVESTMENT SERVICES; SHAREHOLDER/DIRECTOR OF INVESTMENT SERVICES; VICE PRESIDENT, DIRECTOR OF INVESTMENT SERVICES | — |
| SOODIK JOY M | SECRETARY/TREASURER & CHIEF COMPLIANCE OFFICER; SECRETARY/TREASURER,CHIEF OPERATING OFFICER; SECRETARY/TREASURER,CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER (+3 more) | — |
| FEGAN PAUL CHRISTIAN | DIRECTOR OF UK SERVICES | — |
| SCHEMBRI ANTHONY L | DIRECTOR OF INVESTMENT OPERATIONS | — |
| FOGELMAN ALAN | DIRECTOR; DIRECTOR, SECY & TREASURER | — |
| RUFFINO ROSARIO J | DIRECTOR OF INSURANCE SERVICES; SHAREHOLDER/DIRECTOR OF INSURANCE SERVICES; VICE PRESIDENT,DIRECTOR OF INSURANCE SERVICES | — |
| REYNOSO JOSE A | VICE PRESIDENT, DIRECTOR OF ADVANCED TAX & ESTATE PLANNING | — |
| PRICE DAVID | VICE PRESIDENT | — |
| SUAREZ RICHARD TINO | CHIEF EXECUTIVE OFFICER; VICE PRESIDENT, DIRECTOR OF INVESTMENT SERVICES | — |
| CLARFELD ROBERT ALAN | CHAIRMAN,PRESIDENT,CHIEF EXECUTIVE OFFICER; SHAREHOLDER | — |
| WROBLESKI PAUL JAMES | VICE CHAIRMAN, EXECUTIVE VICE PRESIDENT | — |
| VARRIANO ROBERT ANTHONY | CHIEF OPERATING OFFICER; VICE PRESIDENT, DIRECTOR OF FINANCIAL SERVICES | — |
| CUIFFO DONNA MARIE | CHIEF FINANCIAL OFFICER; VICE PRESIDENT,CHIEF FINANCIAL OFFICER | — |
Showing 10 of 14 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-01-30 | regulatory | VIOLATION OF THE TRUTH IN LENDING ACT, REGULATION Z AND THE CONSUMER FINANCIAL PROTECTION ACT. | Final | $9.0M |
| 2020-01-30 | regulatory | VIOLATION OF THE TRUTH IN LENDING ACT, REGULATION Z AND THE CONSUMER FINANCIAL PROTECTION ACT. | Pending | — |
| 2018-04-26 | regulatory | IN APRIL 2018 WE ENTERED INTO A STIPULATION WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES IN WHICH IT WAS AGREED THAT CITIZENS SECURITIES, INC, (CSI) HAD (A) PROVIDED MATERIALLY INCORRECT AND UNTRUE INFORMATION WITH THE MEANING OF SECTION 2110(A)(2) OF THE INSURANCE LAW IN ITS RELICENSING… | Final | $10K |
| 2017-05-05 | regulatory | IN MAY 2017 WE ENTERED INTO A VOLUNTARY SETTLEMENT AGREEMENT WITH THE NORTH CAROLINA DEPARTMENT OF INSURANCE FOR FAILURE TO DISCLOSE DISCIPLINARY MATTERS DURING THE RENEWAL APPLICATION PROCESS FOR THE YEARS 2010, 2011, 2012 AND 2013, AS WELL AS NOT DISCLOSING DISCIPLINARY MATTERS WITHIN 30 DAYS OF S… | Final | $2K |
| 2017-03-31 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE. THE… | Final | $50K |
| 2017-01-23 | regulatory | WITHOUT ADMITTING OR DENYING THE FOLLOWING, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO TIMELY DISCLOSE 45 CUSTOMER COMPLAINTS AND SETTLEMENTS ON ITS ASSOCIATED PERSON'S FORMS U4 AND U5. THE FINDINGS STATED THAT IN ADDITION, 22 INDIVIDUALS ASSOCIATED WITH THE F… | Final | $3.0M |
| 2016-12-20 | regulatory | THE DEPARTMENT FOUND THAT CSI HAD BEEN ENGAGING IN THE BUSINESS OF INSURANCE WITHOUT A LICENSE AFTER OCTOBER 1, 2006 OR HAD BEEN TRANSACTING BUSINESS AFTER THE DATE OF THE EXPIRATION OF THEIR AGENCY LICENSE. | Final | $500 |
| 2016-11-25 | regulatory | IN MARCH 2017, WE ENTERED INTO A CONSENT ORDER WITH THE RHODE ISLAND DIVISION OF INSURANCE FOR FAILURE TO DISCLOSE DISCIPLINARY MATTERS OF AFFILIATES DURING THE RENEWAL APPLICATION PROCESS AND WITHIN 30 DAYS OF SUCH MATTERS BEING SETTLED. | Final | $5K |
| 2016-01-07 | regulatory | CITIZENS SECURITIES DID NOT ADEQUATELY DISCLOSE THEIR RELATIONSHIPS WITH CITIZENS BANK OR WITH ENVESTNET, YIELDING INVESTOR CONFUSION. CITIZENS SECURITIES ALSO FAILED TO ADEQUATELY DISCLOSE THE RISKS ASSOCIATED WITH THE PRODUCTS PURCHASED BY A SENIOR INVESTOR, ULTIMATELY LEADING HER TO LIQUIDATE HER… | Final | — |
| 2016-01-02 | regulatory | CITIZENS SECURITIES DID NOT ADEQUATELY DISCLOSE THEIR RELATIONSHIPS WITH CITIZENS BANK OR WITH ENVESTNET, YIELDING INVESTOR CONFUSION. CITIZENS SECURITIES ALSO FAILED TO ADEQUATELY DISCLOSE THE RISKS ASSOCIATED WITH THE PRODUCTS PURCHASED BY A SENIOR INVESTOR, ULTIMATELY LEADING HER TO LIQUIDATE HER… | Final | — |