# R. F. LAFFERTY & CO., INC.

R. F. LAFFERTY & CO., INC. of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 2498
- Type: SEC-registered investment adviser
- SEC file number: 801-107428
- Location: 40 WALL STREET, 36TH FLOOR SUITE 3602, NEW YORK, NY, 10005
- Phone: 212-293-9090
- Latest filing: 2026-03-09
- Regulatory AUM: $129.8M
- Discretionary AUM: $71.0M
- Non-discretionary AUM: $58.8M
- Clients: 80
- Accounts: 185

## Business model

- Compensation: % of AUM, Commissions
- Clients served: Individuals, High net worth, Charities

## Officers, owners & control persons (5)

| Name | Role | Location |
| --- | --- | --- |
| [Henry Hackel](https://search.stillhousedata.com/person/686565) | PRESIDENT, CHIEF COMPLIANCE OFFICER OF BROKER DEALER | — |
| [Robert Matthew Hackel](https://search.stillhousedata.com/person/686566) | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER OF RIA | — |
| [HACKEL HENRY](https://search.stillhousedata.com/person/769102) | PRESIDENT, CHIEF COMPLIANCE OFFICER; PRESIDENT, CHIEF COMPLIANCE OFFICER OF BROKER DEALER; PRESIDENT, CHIEF COMPLIANCE OFFICER, SROP/CROP | — |
| [HACKEL DEBBIE](https://search.stillhousedata.com/person/769103) | VICE PRESIDENT | — |
| [HACKEL ROBERT MATTHEW](https://search.stillhousedata.com/person/808578) | VICE PRESIDENT; VICE PRESIDENT, CHIEF COMPLIANCE OFFICER OF RIA | — |


## Disclosures (60)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2016-04-01 | regulatory | THE FIRM ALLEGATIONS OF VIOLATIONS OF FINRA RULE 3110 WITH REGARDS TO RECORDKEEPING IN THE PROPERLY MARKETED ORDER TICKETS. DURING JULY 2014 THRU JULY 2017, 56033 OF THE FIRMS ORDER MEMORANDA AND OTHER BOOKS AND RECORDS LACKED INFORMATION INDICATING WHETHER THE TRADE WERE SOLICITED OR UNSOLICITED. F… | Final | $55K |
| 2015-10-09 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT REPORTED SECONDARY MARKET (S1) TRANSACTIONS IN TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)-ELIGIBLE CORPORATE DEBT SECURITIES TO TRACE THAT IT WAS NOT REQUIRED TO REPORT, FAILED TO R… | Final | $5K |
| 2013-11-25 | regulatory | SEC RULE 10B-10, SEC RULES 606, 611(A)(B) AND (C) OF REGULATION NMS, FINRA RULE 2010, NASD RULE 3010 - R.F. LAFFERTY & CO., INC. FAILED TO PROVIDE WRITTEN NOTIFICATION DISCLOSING TO ITS CUSTOMERS THAT THE TRANSACTIONS WERE EXECUTED AT AN AVERAGE PRICE, OR ERRONEOUSLY DISCLOSED THAT THE TRANSACTIONS… | Final | $22K |
| 2013-03-11 | regulatory | FINRA RULE 3310(A) AND NASD RULE 3011(A): THE FIRM'S ANTI-MONEY LAUNDERING (AML) POLICIES, PROCEDURES, AND INTERNAL CONTROLS WERE NOT REASONABLY DESIGNED TO MONITOR FOR, DETECT, AND CAUSE THE REPORTING OF SUSPICIOUS TRANSACTIONS, AS REQUIRED BY NASD RULE 3011(A) AND FINRA RULE 3310(A). THE FIRM'S AM… | Final | $50K |
| 1999-02-17 | regulatory | SUPERVISION VIOLATIONS | Final | $5K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/2498/brochure
- Similar advisers: https://search.stillhousedata.com/firm/2498/similar
- Related entities: https://search.stillhousedata.com/firm/2498/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/2498

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.