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Holly Begley

R. F. Lafferty & CO., Inc.

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About Holly Begley

Holly Begley is a registered representative with R. F. Lafferty & Co., Inc. Holly has been working in the securities industry since 2000. Holly is registered with the state of New Jersey as an Investment Advisor Representative. Holly is also registered in New York as a broker-dealer representative. Holly has passed the Series 63, Series 66, and Series 79TO examinations. Holly is a registered representative with R. F. Lafferty & Co., Inc. Holly has experience working with high-net-worth individuals, insurance companies, and corporations.

Firm Information

Holly Begley 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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Holly Begley’s Registration & Firm History

NY

12/20/2017 - Present

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

NY

05/16/2000 - 08/27/2002

AURORA CAPITAL LLC (BRIDGEHAMPTON, NY)

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Licenses & Designations

BOTH

Issued 12/18/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/10/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/15/2000

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 Holly Begley.
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