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Joel P Mathews

R. F. Lafferty & CO., Inc.

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About Joel P Mathews

Joel P. Mathews is a financial advisor with R. F. Lafferty & CO., Inc. Joel has been in the industry since August 1, 2014. He holds Series 6, 7TO, 24, 27, 63, 65, 79TO and 82 licenses. Joel is also registered with FINRA and several states.

Firm Information

Joel Mathews 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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Joel Mathews’s Registration & Firm History

NY

10/30/2024 - Present

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

IL

12/06/2016 - 05/05/2023

FIRST SOVEREIGN SECURITIES (NORTHBROOK IL)

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Licenses & Designations

BC

Issued 01/12/2019

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 07/12/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/26/2022

Series 24 - General Securities Principal Examination

BC

Issued 06/07/2021

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/29/2024

Series 7TO - General Securities Representative Examination

BC

Issued 11/05/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 11/08/2018

Series 82 - Limited Representative-Private Securities Offerings

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/06/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joel P Mathews.
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