CK
Christopher J. Kelley
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CRD#: 1912299
CK
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.
Christopher John Kelley was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1989. Christopher had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 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)
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®
NoneExperience
Past
November 11, 2013 - December 31, 2016
R. F. LAFFERTY & CO., INC.
BD
CRD#: 2498
NEW YORK, NY
Past
October 3, 2011 - November 8, 2013
TEJAS SECURITIES GROUP, INC.
BD
CRD#: 36705
NEW YORK, NY
Past
January 7, 2002 - February 25, 2011
CANTOR FITZGERALD & CO.
BD
CRD#: 134
DARIEN, CT
Past
August 14, 1997 - January 3, 2002
VIRTU ITG LLC
BD
CRD#: 29299
NEW YORK, NY
Past
December 19, 1989 - April 3, 1995
JEFFERIES LLC
BD
CRD#: 2347
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/30/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
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.
