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Jimmy Yutel Wu

R. F. Lafferty & CO., Inc.

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About Jimmy Yutel Wu

Jimmy Yutel Wu is a financial professional registered with the Financial Industry Regulatory Authority (FINRA) and currently holds a Series 7TO, Series 63, and SIE license. Jimmy is a representative for R. F. Lafferty & CO., Inc., a firm that provides investment advice and financial services to individual and institutional clients. Jimmy has over 5 years of experience in the financial services industry, and has previously worked with firms such as Wells Fargo Clearing Services, LLC, First Republic Securities Company, LLC, and J.P. Morgan Securities LLC. Jimmy's expertise lies in portfolio management for both individuals and institutions, and specializes in serving high-net-worth individuals.

Firm Information

Jimmy Wu 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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Jimmy Wu’s Registration & Firm History

NY

06/11/2024 - Present

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

NY

09/14/2023 - 06/13/2024

WELLS FARGO CLEARING SERVICES, LLC (NEW YORK NY)

NY

05/20/2021 - 10/07/2022

FIRST REPUBLIC SECURITIES COMPANY, LLC (NEW YORK NY)

NY

11/20/2018 - 04/27/2021

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/04/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/18/2021

Series 7TO - General Securities Representative Examination

BC

Issued 11/20/2018

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/22/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Jimmy Yutel Wu.
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