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Carol Ann Quinones

R. F. Lafferty & CO., Inc.

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About Carol Ann Quinones

Carol Quinones is a registered representative with R. F. Lafferty & Co., Inc. in New York, New York. Carol has been in the securities industry since 1986 and has experience in several areas including options, investment banking, and general securities. Carol has held prior positions with Wall Street Investor Services and Royal/Grimm & Davis, Inc. Carol is licensed in New York.

Firm Information

Carol Quinones is currently registered with R. F. Lafferty & CO., Inc.. R. F. Lafferty & CO., Inc. is a corporation formed in May 1976, headquartered in New York, NY. The firm provides portfolio management for individuals and selects other advisors, and has a total of 148 client accounts with $90,879,915 in regulatory assets under management. The firm is registered with the SEC and in 53 states.
R. F. Lafferty & CO., Inc.

40 WALL STREET

NEW YORK, NY 10005

$90.88M

Assets Under Management

45

Total Clients

50

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Carol Quinones’s Registration & Firm History

NY

09/06/1994 - Present

R. F. Lafferty & CO., Inc. (NEW YORK NY)

NY

04/23/1990 - 03/22/1994

WALL STREET INVESTOR SERVICES (NEW YORK NY)

NY

12/23/1986 - 04/23/1990

ROYAL/GRIMM & DAVIS, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/03/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/29/1988

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/20/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Carol Ann Quinones.
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