R.F. Lafferty & Co., Inc.

Progressive Thinking, Traditional Values

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    R.F. LAFFERTY & CO., INC.

    40 Wall Street

    29th Floor

    New York, NY 10005

    212.293.9090

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    RISK DISCLOSURES

    Rule 605 - Market Making

    Rule 606 – Pershing LLC Historical Up to 2019

    Rule 606A - Pershing

    Rule 605 – RBC

    Business Continuity

    Day Trading Risk Disclosure

    Extended Hours

    Options Disclosure

    Margin Disclosure

    Municipal Securities Info

    Characteristics and Risks in

    Standardized Options

    Pershing Fee Schedule

    RBC Fee Schedule

    USA Patriot Act Disclosure

    Broker Change Firm Disclosure

    Exchange-Traded Funds (ETF) - Risk Disclosure

    Order Routing and Payment for Order Flow

    Transactions Resulting in a Debit Balance

    RFL Client Relationship Summary (Form CRS)

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    MSRB

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