AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DG

David Giannini

Some features on this profile are disabled
CRD#: 1559801
DG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Giannini, who also goes by David Alan Giannini, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1986. David had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Alan Giannini

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 21, 2020 - December 15, 2025

R. F. LAFFERTY & CO., INC.

BD
CRD#: 2498
NEW YORK, NY
Past

February 14, 2006 - September 18, 2020

SCARSDALE EQUITIES LLC

BD
CRD#: 134602
NEW YORK, NY
Past

September 18, 1997 - February 22, 2006

SANDERS MORRIS LLC

BD
CRD#: 20580
HOUSTON, TX
Past

October 17, 1996 - September 30, 1997

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

August 31, 1995 - May 15, 1996

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

May 25, 1994 - June 20, 1995

SIMMONS & COMPANY INTERNATIONAL

BD
CRD#: 23974
MINNEAPOLIS, MN
Past

October 16, 1986 - November 22, 1993

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
R. F. LAFFERTY & CO., INC.
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT

CRD#: 2498 / SEC#: 801-107428, 8-25581

RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)
Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)
Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)
Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)
Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)
New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)
Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)
Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/13/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/11/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1986
General Securities Representative Examination

Current Firm

R. F. LAFFERTY & CO., INC.
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT

CRD#: 2498 / SEC#: 801-107428, 8-25581

RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)
Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)
Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)
Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)
Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)
New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)
Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)
Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
40 Wall Street Suite 3602, New York, NY 10005
Mailing Address
40 Wall Street Suite 3602, New York, NY 10005
Phone number
(212) 293-9090
Established
New York since 05/21/1976
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
80

SEC notice filing (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

R F LAFFERTY ADV PART 2A REVISED MARCH 09 2026 (3/9/2026)

Direct owners and executive officers

NamePositionCRD#
HACKEL, HENRYPRESIDENT232894
CROCKETT, RICHARD HUNTCHIEF COMPLIANCE OFFICER
HACKEL, ROBERT MATTHEWVICE PRESIDENT, CHIEF COMPLIANCE OFFICER OF RIA2626413

Regulatory assets under management

Total Number of Accounts185
AUM (Assets Under Management)$ 129,823,421

Disclosures

Regulatory Event5
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

R. F. LAFFERTY & CO., INC.

R. F. LAFFERTY & CO., INC.

CRD#: 2498

TRUST BUT VERIFY

Monitor David Giannini

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.