Broker Check
Allison Jaffe

Allison Jaffe

Chief Compliance Officer

WHAT she does for our clients

Allison serves as BPP’s Chief Compliance Officer (“CCO”) as an integral part of the BPP team to ensure all clients receive the highest quality service.

WHEN she started

Allison began her career in the financial industry in 1993 at Oppenheimer & Co., Inc. in New York City and has held positions with both Registered Investment Advisors Firms (asset and wealth management), and broker/dealer firms (retail and institutional). As a result of the financial crisis, Allison began to focus on compliance in 2008. She joined BPP as a compliance consultant in 2020 and moved to the COO position of CCO in April 2021.

WHERE she went to school and what degrees she has

Allison received her Bachelor of Arts in communications management from the University of Dayton in Ohio. She previously held Series 24, 7, and 63 while working on the broker/dealer side of the business.

WHY she does what she does

Allison was introduced to BPP by her professional partner and the current General Counsel of BPP, Laura Flanagan. After almost two years working with BPP as a compliance associate, Laura and Allison decided, along with the management team at BPP, that Allison would be a great fit. Her compliance expertise, attention to detail and focus on best service for clients has been a “win-win” for everyone.


Allison served as CCO to a New York Stock Exchange (“NYSE”) firm from 2009-2013. This was the first Native-American Broker/Dealer institutional trading firm on Wall Street that was also a member of the NYSE. In recognition of this distinction, they rang the NYSE closing bell on August 25, 2011, and many Native-Americans from around the country and many tribes attended the ceremony, which included the famous Navajo Code Talkers.

Allison and her husband Matt live in Navesink, NJ, and have a son and daughter. The family is passionate about the beach, soccer as well as their two dogs and cat.