AW
Alan Weiss
R. F. LAFFERTY & CO.
NEW YORK, NY 10005
Some features on this profile are disabled
CRD#: 2009858
AW
Professional summary
Alan Weiss is a registered financial professional currently at R. F. LAFFERTY & CO., INC. located in New York, New York.
Alan is registered as a RR (Registered Representative) and started their career in finance in 1989. Alan has worked at 10 firms and has passed the Series 63, Series 57TO, 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) - BD
Click below to view Alan Weiss'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
June 22, 2020 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 40 Wall Street Suite 3602, New York, NY 10005RIA
BD
CRD#: 2498
NEW YORK, NY
Past
February 27, 2017 - July 6, 2020
J.H. DARBIE & CO., INC.
BD
CRD#: 43520
NEW YORK, NY
Past
October 10, 2016 - March 1, 2017
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
NEW YORK, NY
Past
November 7, 2013 - October 6, 2016
LEGEND SECURITIES, INC.
BD
CRD#: 44952
NEW YORK, NY
Past
January 23, 2006 - November 13, 2012
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
December 4, 2000 - January 20, 2006
EARLYBIRDCAPITAL, INC.
BD
CRD#: 28629
MELVILLE, NY
Past
January 6, 2000 - January 20, 2000
RUMSON CAPITAL, LLC
BD
CRD#: 33848
MONTEBELLO, NY
Past
January 6, 2000 - August 7, 2001
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
January 14, 1999 - April 28, 1999
ELECTRONIC TRADING GROUP, LLC
BD
CRD#: 37453
NEW YORK, NY
Past
August 27, 1991 - January 11, 1999
GKN SECURITIES CORP.
BD
CRD#: 19415
NEW YORK, NY
Past
December 22, 1989 - September 5, 1991
D. H. BLAIR & CO., INC.
BD
CRD#: 6833
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.
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(6/22/2020)
RR
Connecticut(7/8/2020)
RR
Delaware(8/11/2020)
RR
Florida(6/23/2020)
RR
Georgia(6/22/2020)
RR
Illinois(8/12/2020)
RR
Kansas(2/18/2021)
RR
Maryland(6/22/2020)
RR
New Hampshire(6/22/2020)
RR
New Jersey(6/24/2020)
RR
New York(6/22/2020)
RR
Pennsylvania(6/22/2020)
RR
Texas(6/24/2020)
RR
Wisconsin(1/14/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/18/1999
Limited Representative-Equity Trader ExamGeneral 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)
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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.
