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Michael Neal Wolloch

R. F. Lafferty & CO., Inc.

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About Michael Neal Wolloch

Michael Neal Wolloch is a registered representative and investment advisor representative with R. F. Lafferty & Co., Inc., based in New York, NY. Michael has over 30 years of experience in the financial services industry, previously working with firms such as Hudson Securities, Inc., Westminster Securities Corporation, Anglo-American Investor Services Corp., Gruntal & Co. Incorporated and Integrated Resources Equity Corporation.

Firm Information

Michael Wolloch 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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Michael Wolloch’s Registration & Firm History

NY

05/05/2009 - Present

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

NY

02/20/2009 - 05/15/2009

HUDSON SECURITIES,INC. (NEW YORK NY)

NY

05/23/1997 - 04/22/2009

WESTMINSTER SECURITIES CORPORATION (NEW YORK NY)

VA

11/08/1994 - 12/11/1995

ANGLO-AMERICAN INVESTOR SERVICES CORP. (CHARLOTTESVILLE VA)

NA

06/23/1987 - 06/26/1989

GRUNTAL & CO. INCORPORATED

NA

02/26/1987 - 07/09/1987

INTEGRATED RESOURCES EQUITY CORPORATION

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Licenses & Designations

BC

Issued 11/15/1994

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 11/07/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Michael Neal Wolloch. Review regulatory record here.
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