Jeffrey Alfonso

Compliance Officer

Branch Manager

Mr. Alfonso is an accomplished Compliance Officer with nearly 10 years of experience in the financial industry at firms such as Neuberger Berman and Morgan Stanley, where he cultivated a deep expertise in operations and regulatory compliance. With a comprehensive range of FINRA certifications, Jeffrey is well-versed in the complexities of brokerage and advisory platforms, leveraging his knowledge to develop solutions that promote both compliance and operational efficiency.

Throughout his career, Jeff has demonstrated exceptional service, helping drive teams toward success by fostering collaboration and implementing effective, corrective procedures that meet the highest industry standards. His strong communication skills and ability to work closely with retail representatives and advisors have made him a trusted partner in maintaining client relationships, improving advisor retention, and delivering superior customer service.

Mr. Alfonso studied Economics at the University of Connecticut and holds the FINRA Series 7, 24, and 66 securities licenses.