Henry Hackel

R. F. LAFFERTY & CO.

NEW YORK, NY 10005

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CRD#: 232894

Professional summary

Henry Hackel is a registered financial professional currently at R. F. LAFFERTY & CO., INC. located in New York, New York.

Henry is registered as a RR (Registered Representative) and started their career in finance in 1992. Henry has worked at 3 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 72, Series 79TO, Series 57TO, Series 99TO, SIE, Series 55, Series 3, Series 24, Series 10, Series 9, Series 27 and Series 40 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) - BD

Click below to view Henry Hackel's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 11, 1970 - Present

R. F. LAFFERTY & CO., INC.

Office #1: 40 Wall Street Suite 3602, New York, NY 10005

RIA

CRD#: 2498

NEW YORK, NY

Past

June 11, 2007 - March 5, 2008

PRO-EX LLC

CRD#: 32259

NEW YORK, NY

Past

May 14, 1992 - January 9, 2001

TRADEWIND FUND I, L.P.

CRD#: 29447

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.

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

Alabama
(7/16/1997)

Alaska
(1/24/1992)

Arizona
(11/30/2005)

Arkansas
(5/20/1983)

California
(3/24/1984)

Colorado
(3/5/1983)

Connecticut
(8/26/1983)

Delaware
(12/19/1991)

District of Columbia
(1/13/1993)

Florida
(5/9/1983)

Georgia
(9/27/1981)

Hawaii
(11/30/2005)

Idaho
(1/22/1996)

Illinois
(7/5/1979)

Indiana
(12/18/1981)

Iowa
(8/26/1983)

Kansas
(10/4/1981)

Kentucky
(11/30/2005)

Louisiana
(11/30/2005)

Maine
(11/30/2005)

Maryland
(10/4/1981)

Massachusetts
(6/19/1979)

Michigan
(3/5/1983)

Minnesota
(8/14/1982)

Mississippi
(11/30/2005)

Missouri
(8/26/1983)

Montana
(2/22/2006)

Nebraska
(7/16/1997)

Nevada
(9/29/1983)

New Hampshire
(6/5/1990)

New Jersey
(2/11/1998)

New Mexico
(10/11/1981)

New York
(2/10/1998)

North Carolina
(11/30/2005)

North Dakota
(11/30/2005)

Ohio
(8/14/1982)

Oklahoma
(8/14/1982)

Oregon
(10/25/1981)

Pennsylvania
(11/8/1981)

Puerto Rico
(8/10/2022)

Rhode Island
(3/5/1983)

South Carolina
(11/30/2005)

South Dakota
(11/30/2005)

Tennessee
(8/11/2021)

Texas
(8/23/1983)

Utah
(7/16/1997)

Vermont
(5/17/1988)

Virginia
(12/7/1982)

Washington
(5/20/1983)

West Virginia
(11/30/2005)

Wisconsin
(8/26/1983)

Wyoming
(1/31/2006)

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.

Registered Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

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

Henry Hackel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Henry Hackel's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRO-EX LLC

TRADEWIND FUND I, L.P.

Primary Firm SEC Registration

R. F. LAFFERTY & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/23/1979

Series 7TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 72

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/4/2000

Series 3

Date: 7/30/1991

Series 24

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 27

Date: 1/2/2023

Series 40

Date: 2/13/1970

FINRA

Nasdaq Stock Market

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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