Kevin G. Malone

Some features on this profile are disabled

CRD#: 1407798

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kevin G Malone, who also goes by Kevin Gerard Malone, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 16 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin Gerard Malone

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 6, 2009 - October 5, 2012

R. F. LAFFERTY & CO., INC.

CRD#: 2498

NEW YORK, NY

Past

January 4, 2006 - March 10, 2009

WESTMINSTER SECURITIES CORPORATION

CRD#: 6105

NEW YORK, NY

Past

December 18, 2002 - January 17, 2006

AEGIS CAPITAL CORP.

CRD#: 15007

VALLEY STREAM, NY

Past

April 11, 1994 - December 20, 2002

WM. V. FRANKEL & CO., INCORPORATED

CRD#: 1895

JERSEY CITY, NJ

Past

September 16, 1992 - November 4, 1993

ISLAND SECURITIES, INC.

CRD#: 6810

Past

February 21, 1991 - September 2, 1992

CASTLE SECURITIES CORP.

CRD#: 16077

FREEPORT, NY

Past

January 30, 1991 - March 5, 1991

HASAN GROWNEY CO. INC.

CRD#: 17137

Past

October 11, 1990 - February 27, 1991

LEGEND MERCHANT GROUP, INC.

CRD#: 5155

NEW YORK, NY

Past

February 9, 1990 - November 30, 1993

VANDERBILT SECURITIES, INC.

CRD#: 14280

Past

September 25, 1989 - January 5, 1990

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, NY

Past

August 24, 1989 - September 20, 1989

TAMARON INVESTMENTS, INC.

CRD#: 14929

ENGLEWOOD, CO

Past

March 20, 1989 - September 5, 1989

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

September 21, 1987 - March 10, 1989

INVESTORS CENTER, INC.

CRD#: 14670

Past

August 6, 1987 - November 5, 1987

FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.

CRD#: 16201

Past

February 2, 1987 - July 21, 1987

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

January 23, 1986 - February 2, 1987

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

Past

October 22, 1985 - November 26, 1985

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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.

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/13/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/29/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/16/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/23/1989

General Securities Principal Examination

Current Firm

R. F. LAFFERTY & CO., INC.

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (17 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

R F LAFFERTY ADV PART 2A REVISED JULY 1 2025 (7/3/2025)

Direct owners and executive officers

Name	Position	CRD#
HACKEL, HENRY	PRESIDENT	232894
CROCKETT, RICHARD HUNT	CHIEF COMPLIANCE OFFICER
HACKEL, ROBERT MATTHEW	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER OF RIA	2626413

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin G. Malone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESTMINSTER SECURITIES CORPORATION

AEGIS CAPITAL CORP.

WM. V. FRANKEL & CO., INCORPORATED

ISLAND SECURITIES, INC.

CASTLE SECURITIES CORP.

HASAN GROWNEY CO. INC.

LEGEND MERCHANT GROUP, INC.

VANDERBILT SECURITIES, INC.

ROBERT TODD FINANCIAL CORP.

TAMARON INVESTMENTS, INC.

KIRLIN SECURITIES INC.

INVESTORS CENTER, INC.

FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.

SHERWOOD CAPITAL, INC.

FIRST JERSEY SECURITIES, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

R. F. LAFFERTY & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/13/1985

SIE

Date: 4/29/2025

Series 55

Date: 3/16/2000

Series 7

Date: 10/19/1985

Series 24

Date: 1/23/1989

Current Firm

R. F. LAFFERTY & CO., INC.

Contact information

SEC notice filing (17 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

R. F. LAFFERTY & CO., INC.

TRUST BUT VERIFY

Similar Advisors