Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Alejandro Pedroza has been a registered professional in the financial services industry since 1993. David is currently registered with R. F. Lafferty & Co., Inc., a firm based in New York City that provides portfolio management services for high-net-worth individuals. David is a Series 7, 8, 24, 4, 55, 57TO, 62 and 63 licensed professional, demonstrating experience in a variety of financial service areas. David’s previous experience includes roles at Tradition Securities and Derivatives Inc., Jefferies & Company, Inc., Herzog, Heine, Geduld, LLC, Thomas F. White & Co., Incorporated and Waterhouse Securities, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
12/02/2016 - Present
R. F. Lafferty & CO., Inc. (NEW YORK NY)
NY
07/08/2010 - 12/01/2016
TRADITION SECURITIES AND DERIVATIVES INC. (NEW YORK NY)
NY
09/24/2002 - 04/03/2007
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NY
03/05/1999 - 09/19/2002
HERZOG, HEINE, GEDULD, LLC (NEW YORK NY)
CA
09/26/1997 - 12/31/1998
THOMAS F. WHITE & CO., INCORPORATED (SAN FRANCISCO CA)
NE
09/03/1993 - 10/02/1997
WATERHOUSE SECURITIES, INC. (OMAHA NE)
NA
03/04/1993 - 07/24/1993
F.N. WOLF & CO., INC.
BC
Issued 06/28/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/06/1998
Series 4 - Registered Options Principal Examination
BC
Issued 12/22/1997
Series 24 - General Securities Principal Examination
BC
Issued 02/16/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2010
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/07/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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