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James Mccrory

R. F. Lafferty & CO., INC.
23 Years of Experience
Sandy Hook, CT
2 DisclosuresBroker
View SEC Summary
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James Mccrory is a registered investment advisor at R. F. Lafferty & CO., INC., based in Sandy Hook, CT, with 23 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 125 clients with $130M in assets under management.

R. F. Lafferty & CO., INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)
Firm Size
16 advisors
Number of Clients
125 clients
Average Client Portfolio
$1.0M average
Assets Under Management
$129.8M

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.75%
$250K - $500K2.50%
$500K - $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.5M1.50%
$2.5M+1.25%

All fees are negotiable. Fees for accounts over $5,000,000 are fully negotiable. Minimum advisory account size is $25,000.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Sandy Hook, CT

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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
February 2010
Denied
Criminal
May 2002
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
R. F. Lafferty & CO., INC.
October 2021 - Present · 5 yrs
R. F. Lafferty & CO., INC.
September 2021 - Present · 5 yrs 1 mo
R. F. Lafferty & CO., INC.Broker
September 2021 - Present · 5 yrs 1 mo
Previous Registrations
Touchstone Securities, INC.Broker
September 2011 - August 2021 · 9 yrs 11 mos
Touchstone Advisors INC
September 2011 - December 2012 · 1 yr 3 mos
Allstate Financial Advisors, LLC
November 2010 - September 2011 · 10 mos
Allstate Financial Services, LLCBroker
November 2010 - September 2011 · 10 mos
Touchstone Securities, INC.Broker
July 2008 - June 2010 · 1 yr 11 mos
Touchstone Advisors INC
July 2008 - June 2010 · 1 yr 11 mos
Metlife Securities INC.
September 2004 - March 2008 · 3 yrs 6 mos
Metlife Securities INC.Broker
September 2004 - March 2008 · 3 yrs 6 mos
Metropolitan Life Insurance CompanyBroker
September 2004 - July 2007 · 2 yrs 10 mos
American Express Financial Advisors, INC.
November 2003 - August 2004 · 9 mos
American Express Financial Advisors INC.Broker
November 2003 - August 2004 · 9 mos
Ids Life Insurance CompanyBroker
November 2003 - August 2004 · 9 mos
Signator Investors, INC.Broker
July 2000 - June 2002 · 1 yr 11 mos
State Registrations7 states
CTFLNJNYPASCTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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