Evan G. Brett

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CRD#: 1877751

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.

Evan Gary Brett was a registered financial professional .

Evan is a previously registered financial professional and started their career in finance in 1990. Evan had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

November 20, 2012 - October 20, 2015

R. F. LAFFERTY & CO., INC.

CRD#: 2498

NEW YORK, NY

Past

December 3, 2009 - November 16, 2010

SEABOARD SECURITIES, INC.

CRD#: 755

FLORHAM PARK, NJ

Past

July 6, 2006 - November 30, 2009

MONARCH FINANCIAL CORPORATION OF AMERICA

CRD#: 23437

NEW YORK, NY

Past

August 8, 2005 - December 14, 2005

TAFFERER TRADING, LLC

CRD#: 36816

NEW YORK, NY

Past

June 16, 2003 - April 6, 2004

TARA SECURITIES INC.

CRD#: 30854

IRVINE, CA

Past

September 18, 1998 - June 3, 2003

WIN CAPITAL CORP.

CRD#: 36172

BAYVILLE, NY

Past

April 3, 1995 - October 5, 1998

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

May 22, 1990 - March 21, 1995

ADLER COLEMAN & CO., INC.

CRD#: 16104

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.

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: 9/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/20/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/11/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/19/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/30/2003

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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Firm Stability Insights

Evan G. Brett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SEABOARD SECURITIES, INC.

MONARCH FINANCIAL CORPORATION OF AMERICA

TAFFERER TRADING, LLC

TARA SECURITIES INC.

WIN CAPITAL CORP.

H.J. MEYERS & CO., INC.

ADLER COLEMAN & CO., INC.

Primary Firm SEC Registration

R. F. LAFFERTY & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/4/1992

SIE

Date: 10/20/2015

Series 55

Date: 6/11/2002

Series 7

Date: 5/19/1990

Series 24

Date: 6/30/2003

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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