Patrick M. Lafferty

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CRD#: 6199900

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.

Patrick Michael Lafferty, who also goes by Patrick Michael Lafferty, Pat Lafferty, Patrick Lafferty, was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 2013. Patrick had worked at 7 firms and has passed the Series 65, Series 63, Series 50, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Patrick Michael Lafferty | Pat Lafferty | Patrick Lafferty

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 1, 2021 - December 3, 2021

PTMA INVESTMENT ADVISORS

RIA

CRD#: 301973

NAPERVILLE, IL

Past

February 1, 2021 - December 3, 2021

PMA SECURITIES, LLC

CRD#: 30397

Lancaster, PA

Past

September 29, 2020 - January 29, 2021

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

LANCASTER, PA

Past

September 29, 2020 - January 29, 2021

RBC CAPITAL MARKETS, LLC

CRD#: 31194

LANCASTER, PA

Past

December 3, 2019 - August 31, 2020

FAITHWARD ADVISORS, LLC

RIA

CRD#: 116978

LANCASTER, PA

Past

December 3, 2019 - September 29, 2020

FAITHWARD CAPITAL

RIA

CRD#: 305092

LANCASTER, PA

Past

April 29, 2019 - September 30, 2020

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

LANCASTER, PA

Past

June 24, 2013 - January 8, 2018

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

PTMA INVESTMENT ADVISORS

PMA ASSET MANAGEMENT, LLC | PTMA INVESTMENT ADVISORS | PRUDENT MAN ADVISORS, LLC

CRD#: 301973 / SEC#: 801-115313

RIA

Registered Investment Advisory firm - (4/2/2019 Approved)

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 65

Date: 12/3/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 50

Date: 1/13/2021

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

SIE

Date: 1/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/24/2013

General Securities Representative Examination

Current Firm

PTMA INVESTMENT ADVISORS

PMA ASSET MANAGEMENT, LLC | PTMA INVESTMENT ADVISORS | PRUDENT MAN ADVISORS, LLC

CRD#: 301973 / SEC#: 801-115313

RIA

Registered Investment Advisory firm - (4/2/2019 Approved)

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Contact information

Main Address

2135 Citygate Lane 7th Floor, Naperville, IL 60563

Mailing Address

Phone number

(630) 657-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PMA ASSET MANAGEMENT PART 2A 2024 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	504
AUM (Assets Under Management)	$ 27,791,353,702

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.

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Advisor Monitoring

Firm Stability Insights

Patrick M. Lafferty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PMA SECURITIES, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

FAITHWARD ADVISORS, LLC

FAITHWARD CAPITAL

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

PTMA INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/3/2019

Series 63

Date: 7/3/2013

Series 50

Date: 1/13/2021

SIE

Date: 1/8/2018

Series 7

Date: 6/24/2013

Current Firm

PTMA INVESTMENT ADVISORS

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PTMA INVESTMENT ADVISORS

TRUST BUT VERIFY

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