MC
Marco A. Casale
R. F. LAFFERTY & CO.
NEW YORK, NY 10005
Some features on this profile are disabled
CRD#: 1663936
MC
Professional summary
Marco Anthony Casale, who also goes by Marc Casale, Marco Casale, is a registered financial professional currently at R. F. LAFFERTY & CO., INC. located in New York, New York.
Marco is registered as a RR (Registered Representative) and started their career in finance in 1988. Marco has worked at 17 firms and has passed the Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Marc Casale | Marco Casale
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 Marco Anthony Casale'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
August 8, 2016 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 40 Wall Street Suite 3602, New York, NY 10005RIA
BD
CRD#: 2498
NEW YORK, NY
Past
May 7, 2014 - August 17, 2016
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
NEW YORK, NY
Past
May 16, 2003 - April 29, 2014
U.S. FINANCIAL INVESTMENTS, INC.
BD
CRD#: 120804
NEW YORK, NY
Past
October 23, 2001 - June 25, 2003
U.S. SECURITIES & FUTURES CORP.
BD
CRD#: 36045
NEW YORK, NY
Past
November 16, 2000 - September 7, 2001
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
June 29, 2000 - November 13, 2000
SHARPE CAPITAL, INC.
BD
CRD#: 18452
NEW YORK, NY
Past
December 8, 1998 - June 23, 2000
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
April 2, 1997 - December 1, 1998
LABRANCHE FINANCIAL SERVICES, LLC
BD
CRD#: 7432
NEW YORK, NY
Past
December 15, 1995 - March 26, 1997
THE BOSTON GROUP
BD
CRD#: 37652
LOS ANGELES, CA
Past
July 26, 1993 - November 21, 1995
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
Past
February 10, 1992 - June 28, 1993
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
July 8, 1991 - January 15, 1992
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 16, 1990 - July 11, 1991
JJC SECURITIES CO., INC.
BD
CRD#: 3144
Past
May 15, 1990 - August 15, 1990
RICHARDSON LYLE & ADLER, INC.
BD
CRD#: 24674
Past
November 3, 1989 - March 14, 1990
GLOBAL CAPITAL SECURITIES, INC.
BD
CRD#: 13358
Past
October 21, 1988 - October 31, 1989
BAILEY, MARTIN & APPEL, INC.
BD
CRD#: 15833
Past
July 19, 1988 - September 22, 1988
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
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
California(6/16/2023)
RR
Connecticut(1/19/2024)
RR
Florida(1/14/2019)
RR
Indiana(9/28/2021)
RR
Iowa(4/1/2025)
RR
Maryland(1/15/2025)
RR
New Jersey(8/8/2016)
RR
New York(8/8/2016)
RR
Pennsylvania(1/17/2019)
RR
Texas(12/19/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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)
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
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.
