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Charles Peter Winnick

R. F. Lafferty & CO., Inc.

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About Charles Peter Winnick

Charles Winnick is a registered representative with over 38 years of experience in the financial services industry. Charles is currently employed by R. F. Lafferty & Co., Inc. He is a licensed securities professional in multiple states including Florida, Illinois, Massachusetts, New Jersey, New York and Texas. Charles has held past positions at firms such as Fulcrum Securities, LLC, Matrix Capital Group, Inc., Northeast Securities, Inc., Leeb Brokerage Services, Inc., Gilford Securities Incorporated and Carnegie Investor Services Inc.

Firm Information

Charles Winnick 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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Charles Winnick’s Registration & Firm History

NY

10/15/2015 - Present

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

NY

12/16/2011 - 12/31/2015

FULCRUM SECURITIES, LLC (WHITE PLAINS NY)

NY

03/07/2007 - 12/15/2011

MATRIX CAPITAL GROUP, INC. (NEW YORK NY)

NY

06/30/2006 - 02/23/2007

NORTHEAST SECURITIES, INC. (NEW YORK NY)

NY

12/06/2001 - 06/30/2006

LEEB BROKERAGE SERVICES, INC. (NEW YORK NY)

NY

02/24/1984 - 12/07/2001

GILFORD SECURITIES INCORPORATED (NEW YORK NY)

NY

10/28/1985 - 01/01/1990

CARNEGIE INVESTOR SERVICES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/03/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/18/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/18/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Charles Peter Winnick. Review regulatory record here.
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