SS
Stuart A. Sachs
R. F. LAFFERTY & CO.
NEW YORK, NY 10005
Some features on this profile are disabled
CRD#: 3148915
SS
Professional summary
Stuart Andrew Sachs is a registered financial professional currently at R. F. LAFFERTY & CO., INC. located in New York, New York.
Stuart is registered as a RR (Registered Representative) and started their career in finance in 1998. Stuart has worked at 9 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE 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 Stuart Andrew Sachs'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
August 1, 2016 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 40 Wall Street Suite 3602, New York, NY 10005RIA
BD
CRD#: 2498
NEW YORK, NY
Past
October 15, 2008 - August 2, 2016
NEWPORT COAST SECURITIES, INC.
BD
CRD#: 16944
WESTBURY, NY
Past
September 28, 2005 - October 16, 2008
BASIC INVESTORS INC.
BD
CRD#: 1187
MELVILLE, NY
Past
September 3, 2003 - September 28, 2005
SAXONY SECURITIES, INC.
BD
CRD#: 115547
ST. LOUIS, MO
Past
August 22, 2003 - September 2, 2003
BASIC INVESTORS INC.
BD
CRD#: 1187
MELVILLE, NY
Past
August 6, 2001 - September 8, 2003
CLEARING SERVICES OF AMERICA, INC.
BD
CRD#: 23623
ST. LOUIS, MO
Past
November 21, 2000 - August 20, 2001
SALOMON GREY FINANCIAL CORPORATION
BD
CRD#: 43413
DALLAS, TX
Past
February 23, 2000 - July 2, 2001
NORTHRIDGE CAPITAL CORPORATION
BD
CRD#: 16467
MELVILLE, NY
Past
December 3, 1999 - February 16, 2000
NEW TIMES SECURITIES SERVICES, INC.
BD
CRD#: 34154
MELVILLE, NY
Past
November 11, 1998 - December 7, 1999
CAMBRIDGE CAPITAL, LLC
BD
CRD#: 41464
GARDEN CITY, 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
Alabama(3/13/2019)
RR
Alaska(8/1/2016)
RR
Arizona(8/1/2016)
RR
California(8/1/2016)
RR
Colorado(8/5/2016)
RR
Connecticut(8/3/2016)
RR
Delaware(6/8/2020)
RR
District of Columbia(1/16/2025)
RR
Florida(8/1/2016)
RR
Georgia(8/1/2016)
RR
Hawaii(2/22/2022)
RR
Idaho(11/16/2021)
RR
Illinois(8/1/2016)
RR
Maryland(8/1/2016)
RR
Massachusetts(8/1/2016)
RR
Michigan(8/1/2016)
RR
Minnesota(5/16/2025)
RR
Mississippi(8/1/2016)
RR
Missouri(11/6/2019)
RR
Nevada(1/4/2019)
RR
New Jersey(8/1/2016)
RR
New York(8/1/2016)
RR
North Carolina(8/1/2016)
RR
Ohio(8/1/2016)
RR
Oregon(8/25/2022)
RR
Pennsylvania(8/1/2016)
RR
South Carolina(6/27/2024)
RR
Texas(8/1/2016)
RR
Utah(9/1/2016)
RR
Vermont(8/1/2024)
RR
Virginia(8/1/2016)
RR
Washington(1/7/2019)
RR
Wisconsin(6/13/2019)
RR
Wyoming(12/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General 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.
