Firm Information

Compensation
Commission-BasedFee-Only (AUM)
Number of Advisors
16 advisors
Number of Clients
183 clients
Average Client Portfolio
$836K average
Assets Under Management
$153.0M

Fee Structure

Minimum Investment:$25K
Minimum Annual Fee:$100
Financial Plan Fee:$1,500 - $25,000
Hourly Rate:$200/hr

RFL Advisor Program fees are calculated as an annualized percentage of assets under management on a sliding scale and are negotiable. There are three options available: a percentage of AUM, an hourly rate (minimum $200/hour invoiced quarterly), or a fixed fee (invoiced quarterly, semi-annually, or annually). Financial planning fees, if requested, range from $1,500 to $25,000 depending on complexity. The minimum advisory account size is $25,000.

Areas of Practice
Investment ManagementRetirement PlanningEstate Planning
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Advisor Information

Office location

40 Wall Street, 29th Floor, New York, NY, 10005

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Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2010
Denied
Criminal
May 2002
Final Disposition
Employment History
Current Registrations
R. F. Lafferty & Co., INC.
October 2021 - Present · 4 yrs 3 mos
R. F. Lafferty & Co., INC.
September 2021 - Present · 4 yrs 4 mos
R. F. Lafferty & Co., INC. Broker
September 2021 - Present · 4 yrs 4 mos
Previous Registrations
Touchstone Securities, INC.Broker
September 2011 - August 2021 · 9 yrs 11 mos
Touchstone Advisors INC
September 2011 - December 2012 · 1 yr 3 mos
Allstate Financial Advisors, LLC
November 2010 - September 2011 · 10 mos
Allstate Financial Services, LLCBroker
November 2010 - September 2011 · 10 mos
Touchstone Securities, INC.Broker
July 2008 - June 2010 · 1 yr 11 mos
Touchstone Advisors INC
July 2008 - June 2010 · 1 yr 11 mos
Metlife Securities INC.
September 2004 - March 2008 · 3 yrs 6 mos
Metlife Securities INC.Broker
September 2004 - March 2008 · 3 yrs 6 mos
Metropolitan Life Insurance CompanyBroker
September 2004 - July 2007 · 2 yrs 10 mos
American Express Financial Advisors, INC.
November 2003 - August 2004 · 9 mos
American Express Financial Advisors INC. Broker
November 2003 - August 2004 · 9 mos
Ids Life Insurance CompanyBroker
November 2003 - August 2004 · 9 mos
Signator Investors, INC.Broker
July 2000 - June 2002 · 1 yr 11 mos
State Registrations7 states
CTFLNJNYPASCTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
James M Mccrory - Financial Advisor | AdvisorDiscover