Steven B. Stuart

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CRD#: 1505580

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.

Steven Bennett Stuart, who also goes by Steven B Stuart, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steven B Stuart

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

October 12, 2017 - July 31, 2018

R. F. LAFFERTY & CO., INC.

CRD#: 2498

NEW YORK, NY

Past

November 10, 2011 - February 16, 2016

TD AMERITRADE, INC.

CRD#: 7870

JERSEY CITY, NJ

Past

April 13, 2009 - July 22, 2009

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BRIDGEWATER, NJ

Past

April 6, 2009 - July 22, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

BRIDGEWATER, NJ

Past

March 12, 2007 - December 31, 2007

THE CONCORD INVESTMENT ADVISORS, LLC

RIA

CRD#: 143033

ISELIN, NJ

Past

January 5, 2005 - April 27, 2007

THE CONCORD EQUITY GROUP, LLC

RIA

CRD#: 14569

SOLON, OH

Past

November 15, 2004 - August 18, 2008

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

SOLON, OH

Past

April 12, 2004 - November 15, 2004

AUGMENT SECURITIES INC.

CRD#: 28373

NEW YORK, NY

Past

January 8, 2002 - October 14, 2002

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

April 8, 1998 - August 22, 2001

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 1, 1996 - April 8, 1998

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

April 15, 1992 - July 1, 1996

FINANCIAL HORIZONS SECURITIES CORPORATION

CRD#: 20221

Past

April 16, 1990 - March 8, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 28, 1986 - May 16, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

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

IAR

Series 65

Date: 9/15/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/11/1992

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)

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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

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.

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Advisor Monitoring

Firm Stability Insights

Steven B. Stuart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD AMERITRADE, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

THE CONCORD INVESTMENT ADVISORS, LLC

THE CONCORD EQUITY GROUP, LLC

THE CONCORD EQUITY GROUP, LLC

AUGMENT SECURITIES INC.

IFMG SECURITIES, INC.

OSAIC WEALTH, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

FINANCIAL HORIZONS SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

R. F. LAFFERTY & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/15/1998

Series 63

Date: 10/9/1986

SIE

Date: 7/31/2018

Series 7

Date: 6/21/1986

Series 24

Date: 12/11/1992

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

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