Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Laufer is a financial professional with over 20 years of experience in the industry. David has a wide range of experience in the financial services industry. David is currently registered with Needham & Company, LLC. David is also registered with the state of New York. David is a Series 66 and Series 63 licensed professional. Prior to joining Needham & Company, LLC, David worked at Oppenheimer & Co. Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Securities research
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
Pursuant to csa agreements
1
2
NY
02/15/2023 - Present
Needham & Company, LLC (NEW YORK NY)
NY
05/29/2012 - 09/20/2019
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
02/01/2012 - 05/25/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GARDEN CITY NY)
NY
05/05/2010 - 06/09/2011
CANACCORD GENUITY INC. (NEW YORK NY)
NY
05/23/2001 - 04/29/2010
BMO CAPITAL MARKETS CORP. (NEW YORK NY)
BOTH
Issued 02/23/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/12/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/30/2020
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/22/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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