R.F. Lafferty & Co., Inc. is a long‑established U.S. broker‑dealer and investment banking firm headquartered in New York, NY. Founded in 1946, the company is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA). It also maintains memberships on major U.S. exchange systems including the Nasdaq Stock Market, placing it among regulated stock exchange brokers with access to the US stock market and trading systems used by other NASDAQ stock brokers.
R.F. Lafferty & Co. operates as a full‑service broker‑dealer that also provides investment banking, institutional sales and trading, market making, retail brokerage, independent research, and advisory services, serving a mix of institutional and individual clients.
What Services Does R. F. Lafferty & Co., Inc. Offer?
F. Lafferty & Co. offers a suite of services designed to support execution, capital markets, and investment needs across diversified client types.
| Service Category | What R. F. Lafferty & Co., Inc. Offers |
| Brokerage Execution | Institutional and retail order execution for U.S. equities and related instruments |
| Investment Banking | Underwriting, public offerings, and capital markets advisory |
| Institutional Sales & Trading | Sales coverage and trading execution for professional investors |
| Market Making | Liquidity provision and two‑sided markets in select securities |
| Research & Advisory | Independent equity research and investment guidance |
Through this broad capability set, the firm supports clients seeking execution and advisory expertise in the US stock market via regulated channels.
Who Is R. F. Lafferty & Co., Inc. For?
R.F. Lafferty serves a variety of market participants:
- Institutional investors requiring execution and research support
- Corporate issuers seeking capital raising and underwriting services
- Individual investors seeking brokerage and investment insights
- Clients accessing trading venues where NASDAQ stock brokers operate
The firm’s services span both institutional brokerage and capital markets execution, connecting clients with major U.S. equity markets.
Which Markets and Exchanges Can You Trade Through R. F. Lafferty & Co., Inc.?
R.F. Lafferty is registered to operate as a broker‑dealer with broad exchange access and clearing arrangements for clients.
Market Access
- Nasdaq Stock Market – approved member since March 6, 2009
- NYSE and NYSE American – approved memberships effective September 10, 2025
- Other principal U.S. exchanges within the US stock market ecosystem
Regulatory Memberships
- SEC registered broker‑dealer (since 01/05/1981)
- FINRA member (since 06/27/1949)
- Nasdaq Stock Market member (since 03/06/2009)
- NYSE & NYSE American approved (09/10/2025)
- SIPC member ensuring client protection
These memberships confirm R. F. Lafferty’s standing as a regulated participant among stock exchange brokers, offering clients access to U.S. equity trading venues and capital markets infrastructure.
How R. F. Lafferty & Co., Inc. Helps You Trade & Invest
- Open a brokerage or institutional account with R. F. Lafferty & Co.
- Discuss investment goals or underwriting needs with a firm representative
- Submit orders for equities and other supported products
- Order execution occurs on Nasdaq, NYSE, and other U.S. venues
- Receive confirmations and post‑trade reporting
- Access research and advisory support for ongoing investment or corporate strategy
This structured workflow supports efficient participation in U.S. equity markets and capital offerings.
Contact Information and Website
| Detail | Information |
| Official Website | https://www.rflafferty.com |
| Main Office Address | 40 Wall Street, Suite 3602, New York, NY 10005, USA |
| Regulatory Status | SEC registered, FINRA member, Nasdaq & NYSE approved, SIPC member |
| CRD | 2498 |
The firm’s New York base supports its operations as a seasoned member of the U.S. brokerage and investment banking community.
New York Office Location
Why R. F. Lafferty & Co., Inc. Matters for Investors
R.F. Lafferty is notable because it:
- Offers a broad set of institutional and retail brokerage services underpinned by regulated exchange access
- Participates in equity offerings, including IPOs where the firm has served as underwriter and book‑running manager, which aligns with how NASDAQ stock brokers and other intermediaries operate in the US stock market capital markets process
- Maintains longstanding regulatory memberships and exchange approvals among top U.S. trading venues
- Provides research, market making, and advisory support to a diverse client base seeking execution and capital markets solutions
These attributes position R. F. Lafferty & Co. as a well‑established participant among professional stock exchange brokers.
Readers looking for the complete U.S. stock exchanges list can explore our detailed guide.
Frequently Asked Questions
Q1: Is R. F. Lafferty & Co., Inc. a regulated broker-dealer?
Yes. The firm is registered with the SEC and is a FINRA member with SIPC protections.
Q2: Can I trade U.S. stocks through R. F. Lafferty?
Yes. The firm provides brokerage services that facilitate trading on Nasdaq, NYSE, and other U.S. exchange systems.
Q3: Does R. F. Lafferty act as an underwriter?
Yes. The firm has served as lead managing underwriter and sole book running manager for public offerings.
Q4: Where is the firm headquartered?
It is based in New York, NY at 40 Wall Street, Suite 3602.
