Joseph S. Oricoli

R. F. LAFFERTY & CO.

NEW YORK, NY 10005

Some features on this profile are disabled

CRD#: 353300

Professional summary

Joseph Stephen Oricoli is a registered financial professional currently at R. F. LAFFERTY & CO., INC. located in New York, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1970. Joseph has worked at 13 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 3, Series 5, Series 1, Series 53, 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 Joseph Stephen Oricoli'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

July 6, 2026 - Present

R. F. LAFFERTY & CO., INC.

Office #1: 40 Wall Street Suite 3602, New York, NY 10005

RIA

CRD#: 2498

NEW YORK, NY

Past

September 29, 2020 - June 5, 2024

ROBERTS & RYAN, INC.

CRD#: 19456

Chicago, IL

Past

March 22, 2019 - July 21, 2020

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

HAUPPAUGE, NY

Past

March 15, 2019 - July 21, 2020

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

HAUPPAUGE, NY

Past

October 31, 2008 - January 10, 2019

FIRST EMPIRE ASSET MANAGEMENT, INC

RIA

CRD#: 134411

HAUPPAUGE, NY

Past

June 7, 2005 - March 15, 2019

FIRST EMPIRE SECURITIES, INC.

CRD#: 15129

HAUPPAUGE, NY

Past

July 15, 1994 - June 27, 1996

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 10, 1991 - May 13, 1994

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

June 26, 1984 - September 23, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

Past

February 27, 1980 - January 3, 1991

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

August 10, 1979 - February 27, 1980

MORGAN STANLEY & CO., INCORPORATED

CRD#: 5203

Past

February 22, 1978 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Past

September 1, 1976 - July 28, 1979

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

September 23, 1970 - February 22, 1978

LEHMAN BROTHERS INCORPORATED

CRD#: 514

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.

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/21/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/27/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/6/2005

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 9/26/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 3/16/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 9/21/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/1/2015

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 40

Date: 5/20/1976

Registered Principal Examination

SRO Registrations

FINRA

Current Firm

R. F. LAFFERTY & CO., INC.

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)

Broker-Dealer Firm Regulated by FINRA (New York district office)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

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

Name	Position	CRD#
HACKEL, HENRY	PRESIDENT	232894
CROCKETT, RICHARD HUNT	CHIEF COMPLIANCE OFFICER
HACKEL, ROBERT MATTHEW	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER OF RIA	2626413

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.

Similar Advisors

Elizabeth Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

IAR

SUMMIT, NJ

Richard Dragotta

LPL FINANCIAL LLC

IAR

PARAMUS, NJ

Anthony Macagna

LPL FINANCIAL LLC

IAR

PARAMUS, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph S. Oricoli

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Stephen Oricoli's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERTS & RYAN, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

FIRST EMPIRE ASSET MANAGEMENT, INC

FIRST EMPIRE SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

CREDIT SUISSE SECURITIES (USA) LLC

LEHMAN BROTHERS INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO., INCORPORATED

LEHMAN BROTHERS KUHN LOEB INCORPORATED

LEHMAN SPECIAL SECURITIES INC.

LEHMAN BROTHERS INCORPORATED

Primary Firm SEC Registration

R. F. LAFFERTY & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/21/2008

Series 63

Date: 6/27/2005

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/6/2005

Series 3

Date: 9/26/1997

Series 5

Date: 3/16/1982

Series 1

Date: 9/21/1970

Series 53

Date: 12/1/2015

Series 24

Date: 11/7/2005

Series 40

Date: 5/20/1976

FINRA

Current Firm

R. F. LAFFERTY & CO., INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

R. F. LAFFERTY & CO., INC.

TRUST BUT VERIFY

Similar Advisors