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Stephen James Utley

R. F. Lafferty & CO., Inc.

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About Stephen James Utley

Stephen Utley is a registered representative with R. F. Lafferty & Co., Inc. Stephen has over 25 years of experience in the financial services industry and holds multiple licenses, including Series 3, 7, 34, 63, and SIE. Stephen previously worked at COVA CAPITAL PARTNERS LLC and Gerard Klauer Mattison & Co., L.L.C. Stephen is registered in Florida and New York.

Firm Information

Stephen Utley 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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Stephen Utley’s Registration & Firm History

NY

06/05/2024 - Present

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

NY

03/23/2023 - 05/31/2024

COVA CAPITAL PARTNERS LLC (SYOSSET NY)

NY

06/20/1995 - 07/16/1996

GERARD KLAUER MATTISON & CO.,L.L.C. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/29/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/23/2023

Series 7TO - General Securities Representative Examination

BC

Issued 03/04/2023

SIE - Securities Industry Essentials Examination

BC

Issued 11/06/2015

Series 3 - National Commodity Futures Examination

BC

Issued 10/20/2015

Series 34 - Retail Off-Exchange FOREX Examination

BC

Issued 06/19/1995

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 Stephen James Utley.
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