RC
Richard H. Crockett
R. F. LAFFERTY & CO.
NEW YORK, NY 10005
Some features on this profile are disabled
CRD#: 1209667
RC
Professional summary
Richard Hunt Crockett is a registered financial advisor currently at R. F. LAFFERTY & CO., INC. located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 15 firms and has passed the Series 63, Series 52TO, Series 82TO, Series 79TO, Series 99TO, SIE, Series 7, Series 14, Series 24, Series 9, Series 10, Series 23, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Richard Hunt Crockett's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 26, 2023 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 40 Wall Street Suite 3602, New York, NY 10005RIA
BD
CRD#: 2498
NEW YORK, NY
Past
April 18, 2019 - June 28, 2024
COVA CAPITAL PARTNERS LLC
BD
CRD#: 109761
SYOSSET, NY
Past
April 8, 2019 - December 31, 2022
LEVELX CAPITAL LLC
BD
CRD#: 117028
BROOKLYN, NY
Past
March 21, 2018 - March 22, 2019
COVA CAPITAL PARTNERS LLC
BD
CRD#: 109761
SYOSSET, NY
Past
February 27, 2018 - April 10, 2018
OCP CAPITAL, LLC
BD
CRD#: 143381
WELLINGTON, FL
Past
October 31, 2017 - January 12, 2018
AEON CAPITAL INC
BD
CRD#: 164004
NEW YORK, NY
Past
September 21, 2017 - August 3, 2018
SPENCER CLARKE LLC
BD
CRD#: 41316
NORTH MIAMI, FL
Past
April 15, 2016 - July 17, 2017
OSPREY PARTNERS LLC
BD
CRD#: 38122
WESTPORT, CT
Past
August 1, 2013 - August 30, 2017
R. F. LAFFERTY & CO., INC.
BD
CRD#: 2498
NEW YORK, NY
Past
June 3, 2013 - August 2, 2013
AEGIS CAPITAL CORP.
BD
CRD#: 15007
NEW YORK, NY
Past
February 19, 2013 - March 25, 2013
OLSON, CROSS & ALAMO LLC
BD
CRD#: 157249
HUNTINGTON, NY
Past
January 20, 2012 - February 1, 2013
CRAIG SCOTT CAPITAL, LLC
BD
CRD#: 155924
UNIONDALE, NY
Past
June 11, 2008 - December 21, 2010
BROOKVILLE CAPITAL PARTNERS
BD
CRD#: 102380
UNIONDALE, NY
Past
May 8, 2006 - March 18, 2008
ADVANCED EQUITIES, INC.
BD
CRD#: 35545
CHICAGO, IL
Past
April 15, 2005 - April 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHICAGO, IL
Past
April 6, 2005 - April 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
Past
July 26, 1999 - March 30, 2005
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
October 3, 1990 - July 23, 1999
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
CRD#: 2498 / SEC#: 801-107428, 8-25581
RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(8/4/2023)
RR
New York(1/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 7/26/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/1/1990
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
CRD#: 2498 / SEC#: 801-107428, 8-25581
RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
40 Wall Street 36th Floor Suite 3602, New York, NY 10005
Mailing Address
40 Wall Street Suite 3602, New York, NY 10005
Phone number
(212) 293-9090
Established
New York since 05/21/1976
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
80
SEC notice filing (17 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 175 |
| AUM (Assets Under Management) | $ 153,036,482 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
