brokerwatch

John Gaffney | CFG Capital Management & Cetera Advisors

According to FINRA’s BrokerCheck website for Public Disclosures, John Gaffney is currently a registered broker and investment adviser with Cetera Advisors. Prior to Cetera, he had been registered with B Riley Wealth Management, National Asset Management, National Securities Corporation, LPL Financial, Citigroup Global Markets, and Prudential Securities Incorporated.

Brokers like John Gaffney have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

To review John Gaffney’s Brokercheck report, click here:
https://brokercheck.finra.org/individual/summary/2827905
*BrokerCheck is run by the Financial Industry Regulatory Authority, Inc. (FINRA)

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