Lisa
Roth

R. F. Lafferty & Co., Inc

CRD#2093325
Investment Advisor
in New York, NY

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About this Advisor

Lisa Roth is a financial advisor who works in New York, New York. Roth is an advisor for R. F. Lafferty & Co., Inc. Over the course of their career, Roth has held roles at Keystone Capital Corporation and Xton Financial, Formerly Tessera Capital Partners, LLC. Roth has Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and is registered to advise clients in California. R. F. Lafferty & Co., Inc is a firm operating out of New York, NY. The company has offices in two locations and a total of 16 advisors. It controls $34 million in total assets among its 104 client accounts, placing it among the smaller financial advisory firms in the country by assets under management. Of its 104 client accounts, 42% belong to high-net-worth investors who have at least $1 million in investable assets. The business has a few services, including portfolio management for individuals and small businesses and selection of other advisers. Fees for financial advisory services depend on which services the firm provides the client. Fee types charged by R. F. Lafferty & Co., Inc likely include asset-based and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

less than 1 year

Services Offered

Portfolio management for individuals and/or small businesses, Selection of other advisers

Fee Structure

Percentage of Assets, Commissions

Office Location

40 Wall Street 29Th Floor
New York, NY 10005

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R. F. Lafferty & Co., Inc Brokerage Details

Total Assets Under Management

$34,144,753

NY Average: $7,464,549,021
Total Number of Employees

16

NY Average: 88
Total Number of Accounts

104

NY Average: 3,892
Average Account Size

$328,315

NY Average: $1,917,921

Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers

Lisa Roth Work History

Lisa has been registered as a financial advisor for 0 years.*

2016 - Present (8 years)

Xton Financial, Formerly Tessera Capital Partners, LLC

2001 - 2016 (15 years)

Keystone Capital Corporation

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Lisa Roth to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at R. F. Lafferty & Co., Inc

Athanasios Tomaras
Oldsmar, FL
William Dipenice
Irvington, NY
Janice Ginsburg
Wayne, PA
Louis Ciavarella
Wayne, PA
Richard Kreger
Weston, CT
James Mccrory
New York, NY
Van Olmstead
Wayne, PA
Robert Stravinski
New York, NY

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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