JM
Joel P. Mathews
R. F. LAFFERTY & CO.
Boca Raton, FL 33432
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CRD#: 3246150
JM
Professional summary
Joel P Mathews, AIF®, who also goes by Joel Padinjarel Mathews, is a registered financial advisor currently at R. F. LAFFERTY & CO., INC. located in Boca Raton, Florida.
Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Joel has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 79TO, Series 82, SIE, Series 6, Series 24 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joel Padinjarel Mathews
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.
As of April 18 2023, I have been working at ClearThink Capital, a transactional and strategic advisory venture capital firm, as a consultant/advisor for client business development, and SPAC and M&A advisory. ClearThink Capital is located at 851 Broken Sound Parkway NW , Suite 280, Boca Raton, FL 33487. I will be working approximately 40 hours a week which may be during securities trading hours. At ClearThink Capital, my responsibilities include overseeing and implementing companies policies, reviewing sales and other client facing documentation for proper disclosures and disclaimers and assisting and guiding clients to achieve their business objectives thorough access to strategic, commercial, capital and M & A transactions. I will help assist early stage enterprises in their organization and growth and also advising clients through the M&A process and structuring. Legasure LLC - Investment-related - located at 851 Broken Sound Parkway NW, Suite 280, Boca Raton, FL 33487 -Compliance Officer - Effective - 09/16/2024 -6 hours a week during securities trading hours -Review of sales of variable insurance policies , signing off on customer profiles and applications and ensuring day to day compliance for the agency. Trustee for the Norma Gilbert Trust DTD May 28th 2007 - Start Date 02/2025 - Purchasing securities and making distributions on the grantors request - No compensation - Will devote 15 hours monthly during the trading hours. Trustee for the Elaine Gilbert Trust DTD June 4th 2015 - Start Date 05/2025 - Purchasing securities and making distributions on the grantor's request - No compensation - Will devote 15 hours monthly during the trading hours. Legasure LLC - 2500 N Military Trail Suite 305 Boca Raton FL 33431- 516-367-5330 - Start Date July 2025 - Insurance agency that sells indexed annuities, life insurance and premium financing - Will be the compliance officer for the company reviewing policies and procedures. 25 hours monthly. Together Forward Capital - 851 Broken Sound Parkway NW, Suite 280, Boca Raton, FL 33487- 561-807-9021 - CEO for the company servicing clients with financial advice and services. 80 hours monthly.
CRS (Client Relationship Summary) - RIA
Click below to view Joel P Mathews's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joel P Mathews'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®
Experience
Current
October 30, 2024 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 150 East Palmetto Park Road, Suite 202, Boca Raton, FL 33432RIA
BD
CRD#: 2498
Boca Raton, FL
Current
September 26, 2024 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 150 East Palmetto Park Road, Suite 202, Boca Raton, FL 33432RIA
BD
CRD#: 2498
Boca Raton, FL
Past
May 25, 2023 - October 1, 2024
ENCLAVE CAPITAL LLC
BD
CRD#: 22732
Boca Raton, FL
Past
December 6, 2016 - May 5, 2023
FIRST SOVEREIGN SECURITIES
BD
CRD#: 39147
NORTHBROOK, IL
Past
July 14, 2014 - May 5, 2023
HOKIN INVESTMENT ADVISORS INC.
RIA
CRD#: 141069
NORTHBROOK, IL
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(9/26/2024)
RR
California(9/26/2024)
RR
Connecticut(9/26/2024)
RR
Florida(9/26/2024)
IAR
Florida(10/30/2024)
RR
Georgia(9/26/2024)
RR
Illinois(9/26/2024)
RR
Maryland(9/26/2024)
RR
New Jersey(9/26/2024)
RR
New York(9/26/2024)
RR
Pennsylvania(9/26/2024)
RR
Rhode Island(9/26/2024)
RR
Texas(9/26/2024)
RR
Virginia(9/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/29/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 11/5/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
R. F. LAFFERTY & CO., INC.
CRD#: 2498Boca Raton, FL 33432TRUST BUT VERIFY
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