Ward F. Morgenthau
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ward Frederic Morgenthau, who also goes by Ward F Morgenthau, was a registered financial professional .
Ward is a previously registered financial professional and started their career in finance in 1968. Ward had worked at 8 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2013 - January 31, 2023
R. F. LAFFERTY & CO., INC.
April 13, 2011 - December 31, 2013
KERN, SUSLOW SECURITIES, INC.
August 8, 2008 - April 8, 2011
R. F. LAFFERTY & CO., INC.
November 19, 2002 - July 25, 2008
JESUP & LAMONT SECURITIES CORP
October 26, 1988 - November 13, 2002
LAIDLAW GLOBAL SECURITIES, INC.
April 8, 1985 - October 18, 1988
JOSEPHTHAL & CO., INC.
January 17, 1979 - April 1, 1985
ULTRAFIN INTERNATIONAL CORPORATION
August 17, 1971 - February 8, 1979
ELKINS & CO.
December 16, 1968 - September 18, 1971
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
Primary Firm SEC Registration
R. F. LAFFERTY & CO., INC.
CRD#: 2498 / SEC#: 801-107428, 8-25581
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 12/11/1968
Registered Representative ExaminationCurrent Firm
R. F. LAFFERTY & CO., INC.
CRD#: 2498 / SEC#: 801-107428, 8-25581
Contact information
SEC notice filing (18 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 185 |
| AUM (Assets Under Management) | $ 129,823,421 |
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.
