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WK

Walter R. Keay

R. F. LAFFERTY & CO.
NEW YORK, NY 10005
Some features on this profile are disabled
CRD#: 265878
WK
Walter Roger KeayR. F. LAFFERTY & CO.

Professional summary

Walter Roger Keay is a registered financial professional currently at R. F. LAFFERTY & CO., INC. located in New York, New York.

Walter is registered as a RR (Registered Representative) and started their career in finance in 1981. Walter has worked at 11 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 7, Series 18, Series 1, Series 24 and Series 40 exams.

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 Walter Roger Keay'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

August 3, 2026 - Present

R. F. LAFFERTY & CO., INC.

Office #1: 40 Wall Street Suite 3602, New York, NY 10005
RIA
BD
CRD#: 2498
NEW YORK, NY
Past

March 22, 2011 - March 31, 2026

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
WHITE PLAINS, NY
Past

April 21, 2008 - March 23, 2011

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
PINEVILLE, PA
Past

December 20, 2006 - April 24, 2008

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

November 17, 2004 - December 20, 2006

WESTMINSTER SECURITIES CORPORATION

BD
CRD#: 6105
NEW YORK, NY
Past

September 10, 2004 - October 29, 2004

COVA CAPITAL PARTNERS LLC

BD
CRD#: 109761
SYOSSET, NY
Past

April 7, 1989 - October 7, 1999

KNICKERBOCKER SECURITIES, INC.

BD
CRD#: 22992
NEW YORK, NY
Past

January 18, 1985 - August 9, 1988

KEANE SECURITIES CO., INC.

BD
CRD#: 8452
Past

September 10, 1984 - January 2, 1985

DEAK- PERERA SECURITIES, INC.

BD
CRD#: 13582
Past

January 28, 1983 - May 9, 1984

S.G. WARBURG & CO. INC.

BD
CRD#: 1483
Past

November 16, 1981 - October 13, 1982

T.J. SULLIVAN & CO., INC.

BD
CRD#: 10233

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.
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
New York
(8/3/2026)
RR
Pennsylvania
(8/3/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 3/17/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 18
Date: 5/26/1977
Securities Industry Rules and Regulations Examination
General Industry/Product Exam
RR
Series 1
Date: 9/17/1965
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/19/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 5/24/1968
Registered Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

R. F. LAFFERTY & CO., INC.
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 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 (18 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 MARCH 09 2026 (3/9/2026)

Direct owners and executive officers

NamePositionCRD#
HACKEL, HENRYPRESIDENT232894
CROCKETT, RICHARD HUNTCHIEF COMPLIANCE OFFICER
HACKEL, ROBERT MATTHEWVICE PRESIDENT, CHIEF COMPLIANCE OFFICER OF RIA2626413

Regulatory assets under management

Total Number of Accounts185
AUM (Assets Under Management)$ 129,823,421

Disclosures

Regulatory Event5
Arbitration2

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.

Company Information

R. F. LAFFERTY & CO., INC.

R. F. LAFFERTY & CO., INC.

CRD#: 2498New York, NY 10005

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