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Investment Adviser Firm Summary

R. F. LAFFERTY & CO., INC. (CRD# 2498 / SEC# 8-25581, 801-107428)
Alternate Names: FULCRUM GROUP , KERN SUSLOW , R. F. LAFFERTY & CO., INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/01/2016
Arizona Terminated 04/04/2016
Florida Terminated 04/04/2016
Iowa Terminated 04/08/2016
Louisiana Terminated 04/07/2016
Maryland Terminated 04/06/2016
New Jersey Terminated 04/21/2016
New York Terminated 04/04/2016
North Carolina Terminated 04/13/2016
Ohio Terminated 04/04/2016
Texas Terminated 04/04/2016
Wisconsin Terminated 04/06/2016

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 04/01/2016
Arkansas 04/01/2016
California 04/01/2016
Connecticut 04/01/2016
Delaware 04/01/2016
District of Columbia 04/01/2016
Florida 04/01/2016
Georgia 04/01/2016
Illinois 04/01/2016
Indiana 04/01/2016
Iowa 04/01/2016
Louisiana 04/01/2016
Maryland 04/01/2016
Massachusetts 04/25/2016
Minnesota 04/25/2016
Missouri 04/01/2016
New Jersey 04/21/2016
New York 04/01/2016
North Carolina 04/01/2016
Ohio 04/01/2016
Oregon 04/01/2016
Pennsylvania 04/01/2016
South Carolina 04/01/2016
Texas 04/01/2016
Virginia 04/01/2016
Washington 04/01/2016
Wisconsin 04/01/2016

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser