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David Giannini

R. F. Lafferty & CO., Inc.

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About David Giannini

David Giannini is a financial professional with over 30 years of experience in the industry. David has a broad range of experience working at firms such as RBC Dominion Securities Corporation, Jefferies & Company, Inc., Simmons & Company International, Kidder, Peabody & Co. Incorporated, Sanders Morris Harris Inc., and Scarsdale Equities LLC. David is currently a Registered Representative for R. F. Lafferty & CO., Inc. David specializes in portfolio management for individuals and selection of other advisers. David is licensed in New York and Texas.

Firm Information

David Giannini is currently registered with R. F. Lafferty & CO., Inc.. R. F. Lafferty & CO., Inc. is a corporation formed in May 1976, headquartered in New York, NY. The firm provides portfolio management for individuals and selects other advisors, and has a total of 148 client accounts with $90,879,915 in regulatory assets under management. The firm is registered with the SEC and in 53 states.
R. F. Lafferty & CO., Inc.

40 WALL STREET

NEW YORK, NY 10005

$90.88M

Assets Under Management

45

Total Clients

50

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Giannini’s Registration & Firm History

NY

08/21/2020 - Present

R. F. Lafferty & CO., Inc. (NEW YORK NY)

NY

02/14/2006 - 09/18/2020

SCARSDALE EQUITIES LLC (NEW YORK NY)

TX

09/18/1997 - 02/22/2006

SANDERS MORRIS HARRIS INC. (HOUSTON TX)

NY

10/17/1996 - 09/30/1997

RBC DOMINION SECURITIES CORPORATION (NEW YORK NY)

NY

08/31/1995 - 05/15/1996

JEFFERIES & COMPANY, INC. (NEW YORK NY)

MN

05/25/1994 - 06/20/1995

SIMMONS & COMPANY INTERNATIONAL (MINNEAPOLIS MN)

NY

10/16/1986 - 11/22/1993

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/13/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/11/1988

Series 3 - National Commodity Futures Examination

BC

Issued 09/20/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David Giannini.
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