VO
Van D. Olmstead
R. F. LAFFERTY & CO.
Chadds Ford, PA 19317
Some features on this profile are disabled
CRD#: 815874
VO
Professional summary
Van Dregge Olmstead, CFP®, who also goes by Van Dregge Olmstead Jr, is a registered financial advisor currently at R. F. LAFFERTY & CO., INC. located in Chadds Ford, Pennsylvania.
Van is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Van has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 7, Series 24 and Series 4 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Insurance Planning
Investment Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Van Dregge Olmstead Jr
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.
1 LAFAYETTE LODGE #14, A.F.&A.M., GRAND LODGE OF DELAWARE, 818 MARKET STREET, WILMINGTON DE 19801, FRATERNAL ORGANIZATION, WORSHIPFUL MASTER EFFECTIVE 9/1/2016 - PRESENT 3 HOURS PER MONTH, CHIEF EXECUTIVE OFFICER OF MASONIC LODGE. FINANCIAL RESPOSIBILITES OF LODGE IN HANDS OF TREASURER - NO CONFLICT OF INTEREST #2 KIWANIS FOUNDATION OF WILMINGTON, INC., INVESTMENT RELATED: NO, 908 PINEVIEW DR., WEST CHESTER, PA 19380, CHARITABLE FOUNDATION, VICE PRESIDENT & BOARD MEMBER, START DATE: 2010 1 HR/MONTH, 0 HR/DURING TRADING HOURS, I AM A MEMBER OF THE BOARD OF DIRECTORS & AS SUCH AM CHARGED W/SEEING TO IT THE FUNDS OF THE FOUNDATION ARE SPENT FOR CHARITABLE PURPOSES. AS VP, I PRESIDE IN THE ABSENCE OF THE PRESIDENT. THE PRESIDENT HAS NOT FAILED TO ATTEND THE BOARD MEETINGS SINCE I WAS CHOSEN AS VP. #3 MOSS INSURANCE GROUP INVESTMENT RELATED: NO 150 N. RADNOR CHESTER RD. RADNOR, PA 19087 INSURANCE BROKER AGENT START DATE: MAY 2015 11 HOURS/MO. - MINIMAL DURING MARKET HOURS SELL NON-SECURITY INSURANCE TO CUSTOMER #5 - Moss Insurance Group Insurance - Various hours - sales agent
CRS (Client Relationship Summary) - RIA
Click below to view Van Dregge Olmstead's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Van Dregge Olmstead's 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®
CFP®
Start date: 1990
Experience
Current
February 25, 2016 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 225 Wilmington West Chester Pike Suite 200, Chadds Ford, PA 19317RIA
BD
CRD#: 2498
Chadds Ford, PA
Current
October 21, 2015 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 225 Wilmington West Chester Pike Suite 200, Chadds Ford, PA 19317RIA
BD
CRD#: 2498
Chadds Ford, PA
Past
September 30, 2010 - February 26, 2016
FULCRUM ADVISORY SERVICES, LLC
RIA
CRD#: 131777
RADNOR, PA
Past
September 30, 2010 - February 26, 2016
FULCRUM SECURITIES, LLC
BD
CRD#: 140084
RADNOR, PA
Past
August 4, 2005 - October 4, 2010
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
MEDIA, PA
Past
May 3, 2001 - October 4, 2010
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
MEDIA, PA
Past
January 20, 1989 - May 14, 2001
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
November 28, 1983 - February 7, 1989
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
September 26, 1978 - December 8, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
December 3, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
BD
CRD#: 6802
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.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
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)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/2/2020)
RR
Delaware(2/25/2016)
IAR
Delaware(4/1/2016)
RR
Florida(2/25/2016)
IAR
Florida(3/1/2016)
RR
Maryland(2/25/2016)
RR
Massachusetts(1/3/2019)
RR
New Jersey(2/25/2016)
IAR
New Jersey(2/25/2016)
RR
New York(10/21/2015)
IAR
North Carolina(2/26/2016)
RR
North Carolina(2/29/2016)
RR
Ohio(2/26/2016)
RR
Pennsylvania(2/26/2016)
IAR
Pennsylvania(4/1/2016)
RR
Texas(4/27/2022)
RR
Wisconsin(2/26/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/15/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 3/13/1981
AMEX Put and Call ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
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)BD
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
80
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.
