CRD #2498 · FINRA BrokerCheck + SEC IAPD

R. F. Lafferty & Co., Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, R. F. Lafferty & Co., Inc. ranks #1,054 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #104 of 868 on the same disclosure sort used on the state browse page. R. F. Lafferty & Co., Inc. carries 7 BrokerCheck disclosures across 20 branch offices - moderate load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
20
branch offices
7
disclosures
#1,054 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 2498 R. F. Lafferty & Co., Inc.

R. F. Lafferty & Co., Inc. · Grade B · 7 disc · 0.35/office · Mid-sized firm

  • CRD 2498
  • GRADE B
  • DISC 7
  • REG 5
  • ARB 2
  • CIV 0
  • BRANCH 20
  • PER-OFF 0.35
  • RANK #1,054 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: ING Financial Markets LLC (0.36 disc/office)

ING Financial Markets LLC0.36Sanctuary Securities, Inc.0.34B. Riley Wealth Management0.32R. F. Lafferty & Co… (this)0.35
Disclosures per office among mid-sized firm peers (lower is cleaner)

R. F. Lafferty & Co., Inc. ranks #1,054 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.35 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

20 offices

FINRA: Small firm

Total disclosures

7 events

On FINRA BrokerCheck

Regulatory events

5 actions

71% of all disclosures

Disclosures per office

0.35 per office

7 ÷ 20 offices

R. F. Lafferty & Co., Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 66% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 5
Arbitrations 2
Civil Events 0
Total 7

Counts for R. F. Lafferty & Co., Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 5 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY, 10005
Formed
05/21/1976
State of Formation
New York
CRD Number
2498
SEC Number
25581

Heavy disclosure book

R. F. Lafferty & Co., Inc. in the heavier-disclosure third

R. F. Lafferty & Co., Inc. carries 7 BrokerCheck disclosures across 20 branch offices - a heavier-third raw book among graded firms (#1,054 of 20,055). Regulator-initiated events are 71% of the book (5 regulatory / 2 arbitration / 0 civil).

R. F. Lafferty & Co., Inc. ranks #1,054 of 20,055 by BrokerCheck disclosure count among graded firms (7 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of R. F. Lafferty & Co., Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 0.80× state average

R. F. Lafferty & Co., Inc. tracks near the New York disclosure average

R. F. Lafferty & Co., Inc. reports 7 BrokerCheck disclosures, about 0.80× the New York average of 8.7 across 868 graded firms.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does R. F. Lafferty & Co., Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, R. F. Lafferty & Co., Inc. ranks #1,054 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #104 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for R. F. Lafferty & Co., Inc.?
A grade of B reflects R. F. Lafferty & Co., Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 7 total disclosures across 20 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does R. F. Lafferty & Co., Inc. have?
R. F. Lafferty & Co., Inc. has 7 total FINRA disclosures, including 5 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is R. F. Lafferty & Co., Inc.?
R. F. Lafferty & Co., Inc. operates 20 branch offices and is classified by FINRA as a small firm, registered in NY (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify R. F. Lafferty & Co., Inc.'s disciplinary record?
You can verify R. F. Lafferty & Co., Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 2498. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). R. F. Lafferty & Co., Inc.'s 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid R. F. Lafferty & Co., Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. R. F. Lafferty & Co., Inc. carries 7 disclosures across 20 branch offices (about 0.35 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for R. F. Lafferty & Co., Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • ING Financial Markets LLC (NY) - 0.36 disclosures/office, nearest mid-sized firm peer to R. F. Lafferty & Co., Inc.'s 0.35
  • Sanctuary Securities, Inc. (FL) - 0.34 disclosures/office, nearest mid-sized firm peer to R. F. Lafferty & Co., Inc.'s 0.35
  • B. Riley Wealth Management (TN) - 0.32 disclosures/office, nearest mid-sized firm peer to R. F. Lafferty & Co., Inc.'s 0.35
  • Firms in NY - state roster that includes R. F. Lafferty & Co., Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like R. F. Lafferty & Co., Inc..
  • Reading BrokerCheck Reports - How R. F. Lafferty & Co., Inc.'s 0.35 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to R. F. Lafferty & Co., Inc..
  • Compare firms - put R. F. Lafferty & Co., Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.