William Ambrose Dipenice

R. F. Lafferty & CO., INC.

43 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningInsurance Planning

R. F. Lafferty & CO., INC.

Compensation

Commission-BasedFee-Only (AUM)

Firm Size

16 advisors

Number of Clients

183 clients

Average Client Portfolio

$836K average

Assets Under Management

$153.0M

Fee Structure

Minimum Investment:$50K

AUM-Based Fees (Tiered)

Assets Under Management	Annual Fee
Up to $250K	2.75%
$250K - $500K	2.50%
$500K - $750K	2.25%
$750K - $1.0M	2.00%
$1.0M - $2.5M	1.50%
$2.5M - $5.0M	1.25%
$5.0M - $10.0M	1.25%
$10M+	1.25%

Fees are negotiable for accounts over $5,000,001.

Fee Estimator

Your Portfolio Value

$500K

$0$500K$1M$5M$20M

Estimated Annual Fee

—

Location

Irvington, NY

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

December 2008

Settled

Customer Dispute

March 2003

Denied

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

R. F. Lafferty & CO., INC.

August 2016 - Present · 9 yrs 6 mos

R. F. Lafferty & CO., INC.

August 2016 - Present · 9 yrs 6 mos

R. F. Lafferty & CO., INC.Broker

August 2016 - Present · 9 yrs 6 mos

Previous Registrations

Wells Fargo Advisors, LLCBroker

June 2012 - July 2016 · 4 yrs 1 mo

Wells Fargo Advisors, LLC

June 2012 - July 2016 · 4 yrs 1 mo

Chase Investment Services CORP.

October 2007 - June 2012 · 4 yrs 8 mos

Chase Investment Services CORP.Broker

June 2006 - June 2012 · 6 yrs

Metlife Securities INC.Broker

December 2004 - June 2006 · 1 yr 6 mos

Metropolitan Life Insurance CompanyBroker

December 2004 - June 2006 · 1 yr 6 mos

Terra Securities CorporationBroker

January 2004 - November 2004 · 10 mos

Capital Brokerage CorporationBroker

June 2003 - January 2004 · 7 mos

Quick & Reilly, INC.Broker

December 2002 - June 2003 · 6 mos

Hsbc Brokerage (USA) INC.Broker

March 1995 - December 2002 · 7 yrs 9 mos

John Hancock Distributors, INC.Broker

September 1993 - March 1995 · 1 yr 6 mos

John Hancock Mutual Life Insurance CompanyBroker

September 1993 - March 1995 · 1 yr 6 mos

Cigna Securities, INC.Broker

February 1993 - September 1993 · 7 mos

John Hancock Distributors, INC.Broker

April 1982 - March 1993 · 10 yrs 11 mos

John Hancock Mutual Life Insurance CompanyBroker

April 1982 - March 1993 · 10 yrs 11 mos

State Registrations2 states

FLNY

AdvisorBrokerBoth

Exams

No exam information available for this advisor.