Richard Bellinfante
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.
Richard Bellinfante, who also goes by Richard B Bellinfante, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 15, Series 5, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2016 - April 21, 2017
R. F. LAFFERTY & CO., INC.
May 1, 2014 - September 1, 2016
NEWPORT COAST SECURITIES, INC.
May 19, 2003 - April 29, 2014
U.S. FINANCIAL INVESTMENTS, INC.
January 3, 1997 - June 25, 2003
U.S. SECURITIES & FUTURES CORP.
June 29, 1992 - December 19, 1996
SECURITIES AMERICA, INC.
November 2, 1988 - July 15, 1992
RAUSCHER PIERCE REFSNES, INC.
March 31, 1988 - November 12, 1988
SUTRO & CO. INCORPORATED
March 21, 1986 - March 29, 1988
TUCKER ANTHONY INCORPORATED
September 26, 1978 - April 17, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 15
Date: 4/4/1985
Foreign Currency Options ExaminationSeries 5
Date: 2/18/1983
Interest Rate Options ExaminationCurrent Firm
R. F. LAFFERTY & CO., INC.
CRD#: 2498 / SEC#: 801-107428, 8-25581
Contact information
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.
