Fred A. Froewiss

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CRD#: 708757

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.

Fred Anthony Froewiss, who also goes by Fred A Froewiss, was a registered financial professional .

Fred is a previously registered financial professional and started their career in finance in 1980. Fred had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Fred A Froewiss

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

October 17, 2005 - October 12, 2015

R. F. LAFFERTY & CO., INC.

CRD#: 2498

NEW YORK, NY

Past

August 15, 2003 - November 2, 2006

COVA CAPITAL PARTNERS LLC

CRD#: 109761

STATEN ISLAND, NY

Past

July 8, 2003 - July 25, 2003

S. B. CANTOR & CO., INC.

CRD#: 1384

NEW YORK, NY

Past

June 14, 2000 - December 31, 2002

KINETICS FUNDS DISTRIBUTOR LLC

CRD#: 780

NEW YORK, NY

Past

August 21, 1992 - December 7, 1999

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

March 19, 1992 - July 28, 1992

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

August 9, 1988 - March 2, 1992

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

April 13, 1988 - August 16, 1988

OPPENHEIMER & CO. INC.

CRD#: 249

Past

August 20, 1985 - April 13, 1988

FAHNESTOCK INTERNATIONAL INC.

CRD#: 279

Past

May 22, 1980 - August 19, 1985

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

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

Series 63

Date: 1/28/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/12/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/10/2003

General Securities Principal Examination

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)

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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

SEC notice filing (17 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 JULY 1 2025 (7/3/2025)

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	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.

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Advisor Monitoring

Firm Stability Insights

Fred A. Froewiss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COVA CAPITAL PARTNERS LLC

S. B. CANTOR & CO., INC.

KINETICS FUNDS DISTRIBUTOR LLC

JANNEY MONTGOMERY SCOTT LLC

JOSEPHTHAL & CO., INC.

GLEACHER & COMPANY SECURITIES, INC.

OPPENHEIMER & CO. INC.

FAHNESTOCK INTERNATIONAL INC.

PRESCOTT, BALL & TURBEN, INC.

Primary Firm SEC Registration

R. F. LAFFERTY & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/28/1981

SIE

Date: 10/12/2015

Series 7

Date: 5/17/1980

Series 24

Date: 9/10/2003

Current Firm

R. F. LAFFERTY & CO., INC.

Contact information

SEC notice filing (17 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

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