AT
Athanasios Tomaras
R. F. LAFFERTY & CO.
Oldsmar, FL 34677
Some features on this profile are disabled
CRD#: 2722538
AT
Professional summary
Athanasios Tomaras, who also goes by Thanasi Tomaras, is a registered financial advisor currently at R. F. LAFFERTY & CO., INC. located in Oldsmar, Florida.
Athanasios is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Athanasios has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 52, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thanasi Tomaras
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.
June 30 2017 TESA LLC - DBA- Clean Cut Professional Lawn and Landscape LLC
Owner of commercial and residential landscaping company spend approximately 3 hours a week during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Athanasios Tomaras's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Athanasios Tomaras'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
March 1, 2016 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 3980 Tampa Road Suite 101-gh, Oldsmar, FL 34677RIA
BD
CRD#: 2498
Oldsmar, FL
Current
October 16, 2015 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 40 Wall Street 36th Floor Suite 3602, New York, NY 10005Office #2: 40 Wall Street Suite 3602, New York, NY 10005RIA
BD
CRD#: 2498
NEW YORK, NY
Past
November 13, 2012 - July 20, 2016
FULCRUM ADVISORY SERVICES, LLC
RIA
CRD#: 131777
OLDSMAR, FL
Past
March 9, 2012 - March 21, 2016
FULCRUM SECURITIES, LLC
BD
CRD#: 140084
OLDSMAR, FL
Past
June 1, 2009 - March 27, 2012
MORGAN STANLEY
RIA
CRD#: 149777
CLEARWATER, FL
Past
June 1, 2009 - March 27, 2012
MORGAN STANLEY
BD
CRD#: 149777
CLEARWATER, FL
Past
April 2, 2007 - June 11, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
CLEARWATER, FL
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
CLEARWATER, FL
Past
January 4, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CLEARWATER, FL
Past
July 2, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
CLEARWATER, FL
Past
July 7, 2003 - July 13, 2004
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
CLEARWATER, FL
Past
October 18, 2002 - July 9, 2003
CHOREO, LLC
RIA
CRD#: 111221
CLEARWATER, FL
Past
April 1, 1996 - July 13, 2004
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(7/29/2021)
RR
California(11/18/2021)
RR
Florida(1/26/2016)
IAR
Florida(3/1/2016)
RR
Georgia(2/23/2016)
RR
Illinois(11/16/2017)
RR
Michigan(3/7/2016)
RR
New Jersey(3/18/2016)
RR
New York(2/13/2017)
RR
North Carolina(4/29/2019)
RR
Pennsylvania(2/22/2016)
RR
South Carolina(3/7/2016)
RR
Tennessee(8/11/2021)
RR
Virginia(3/14/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/2/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
R. F. LAFFERTY & CO., INC.
CRD#: 2498Oldsmar, FL 34677TRUST BUT VERIFY
Monitor Athanasios Tomaras
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
