RF Lafferty & Co., Inc
Tom Herity is an experienced compliance professional currently serving as a Compliance Officer at Aegis Capital Corp. since April 2023. Prior to this role, Tom held compliance positions at RF Lafferty & Co., Inc. since October 2016, and served as Chief Compliance Officer and AML Officer at Rothschild Lieberman LLC from May 2015 to October 2016. Tom has a strong background in compliance, having previously been the Chief Compliance Officer at HFP Capital Markets LLC, Spartan Capital Securities, LLC, and Sloan Securities, where additional responsibilities included AML Officer roles. Earlier in Tom's career, leadership in compliance was demonstrated at Northeast Securities and margin management experience was gained at Investec Ernst & Co. Tom's educational background includes studies at New Jersey City University and the New York Institute of Finance.
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RF Lafferty & Co., Inc
For over 65 years, R.F. Lafferty & Co. Inc. has been located in the heart of the financial district, just a block away from the New York Stock Exchange. R.F. Lafferty was originally a broker's broker executing orders for other financial institutions. In 1950, the firm decided to expand its services to offer its expertise to individual investors. Through the leadership of Henry Hackel, the firm CEO and President for over 40 years, we foster a family oriented business that puts the customer first. We offer our diverse clientele execution services through our retail and institutional desks as well as an Investment Advisor and Capital Markets Division which includes Investment Banking. We are committed to using a team-based approach to provide our clients with these core services. Our goal is to always maintain a high level of quality service and integrity in developing and completing our clients' transactions. Our memberships include FINRA , NASDAQ and SIPC.