Josh Jaffe – Steward Partners Advisor in Newark, Ohio: Essential Facts for Investors
Haselkorn & Thibaut, a national investment fraud law firm with over 50 years’ experience and a 98% success rate, has opened an investigation into Josh Jaffe (CRD# 5085863) of Steward Partners in Newark, Ohio. If you have worked with Mr. Jaffe or invested through his former or current broker-dealer relationships, this report will help you understand what’s publicly available about his background, any red flags, and what steps you can take to protect your interests.
Who Is Josh Jaffe?
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Josh Jaffe is an experienced financial advisor and broker currently affiliated with Steward Partners as part of their Longbridge Wealth group in Newark, Ohio. According to regulatory records, Mr. Jaffe has been active in the securities industry for 19 years. His career includes prior roles at firms such as Ameriprise Financial Services, JP Morgan Securities, Chase Investment Services, and PFS Investments.
Mr. Jaffe’s professional focus, as described by his firm, is on developing tailored strategies for clients, emphasizing transparency, practical planning, regular communication, and ongoing portfolio reviews. His approach is designed to provide both financial planning and investment management under a structured schedule of client meetings and reviews.
What Do Public Records Show?
Based on a comprehensive review of publicly available sources through mid-2024, Josh Jaffe’s regulatory record is summarized below. All investors are encouraged to conduct regular checks using FINRA BrokerCheck for updates.
| Type of Disclosure | Date | Details | Status |
|---|---|---|---|
| Investor Complaint | September 2025 | Allegation of unsuitable recommendation to establish a variable-rate, securities-backed line of credit linked to Strategic Portfolio Services account during tenure with Ameriprise Financial. | Complaint for $202,330 denied by the firm. |
| Employment Separation | 2020 | Voluntary resignation from JP Morgan Chase Bank; company cited allegations of failure to escalate a customer complaint. | No regulatory action reported. |
| Civil Litigations & Arbitrations | as of mid-2024 | No reports of customer-initiated arbitrations or civil cases. | None found. |
| Regulatory Actions (SEC/FINRA/State) | as of mid-2024 | No administrative or enforcement actions reported by FINRA, SEC, or state regulators. | None found. |
Current Registration & Credentials
- Broker-dealer: Steward Partners (since August 2025)
- Longbridge Wealth group team member
- 19 years’ industry experience
- 22 state licenses
- Exam credentials: Series 7, Series 6, Series 63, Series 66, Securities Industry Essentials Examination
What Does the Complaint Mean for Investors?
While the complaint in question was denied by Ameriprise and did not result in disciplinary action, the size of the alleged damages ($202,330) and the nature of the product (variable-rate, securities-backed line of credit) are important factors for investors considering or reviewing their exposure to similar strategies.
A denied complaint does not itself constitute proof of wrongdoing, but it does provide a valuable checkpoint for clients to carefully review:
- Suitability: Was the recommended strategy appropriate for your investment goals, risk tolerance, and financial situation?
- Disclosure: Were all risks, features, and costs of the recommended product explained in detail?
- Process: Were complaints or concerns escalated and addressed promptly by your advisor and their supervisor?
Red Flags: What Should Investors Watch For?
Investing involves risk, but certain patterns and disclosures can serve as red flags for investors:
- Complaints involving suitability or the use of complex credit products.
- Employment separation tied to customer complaints—even when no regulatory action follows, this signals a potential breakdown in compliance or oversight.
- Lack of clear communication about how products function or are tied to investment accounts.
Any one of these issues, or a combination, means investors should take a close look at their accounts, ask direct questions, and consider seeking a confidential review by a specialized law firm.
The Importance of Ongoing Due Diligence
Regulatory disclosures are not static. New claims or findings can be posted at any time. For investors, this means:
- Regularly checking FINRA BrokerCheck for any changes to your advisor’s record.
- Requesting written explanations of any strategy or product you do not fully understand.
- Running your own periodic risk assessment—especially if your portfolio involves products with performance-based fees, margin lending, variable rates, or other complex features.
Haselkorn & Thibaut Is Here to Help
Haselkorn & Thibaut (investmentfraudlawyers.com) represents investors nationwide in claims against financial advisors and brokerage firms. With decades of experience and a track record of client-focused advocacy, our team can review your situation, explain your legal options, and—if appropriate—pursue recovery of investment losses.
- 98% success rate on client recoveries
- Millions recovered for wronged investors
- No recovery, no fee—you pay nothing unless we win your case
Take the Next Step – Get a Free Consultation
If you have concerns about investments made with Josh Jaffe at Steward Partners or prior firms, or suspect your accounts were not managed in your best interests, call Haselkorn & Thibaut directly at 1 888-885-7162 for a risk-free assessment. Our team will confidentially review your account statements, complaint history, and documentation to determine the best path forward.
Protect your investments—reach out today for trusted guidance and a no-obligation consultation.
