DH
David M. Halperin
R. F. LAFFERTY & CO.
NEW YORK, NY 10005
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CRD#: 2938987
DH
Professional summary
David Mitchell Halperin, who also goes by David Michael Halperin, is a registered financial professional currently at R. F. LAFFERTY & CO., INC. located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 55, Series 62 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Michael Halperin
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.
CRS (Client Relationship Summary) - BD
Click below to view David Mitchell Halperin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 5, 2019 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 40 Wall Street Suite 3602, New York, NY 10005RIA
BD
CRD#: 2498
NEW YORK, NY
Past
February 20, 2018 - April 5, 2019
AEON CAPITAL INC
BD
CRD#: 164004
Westport, CT
Past
May 6, 2016 - February 13, 2018
GAR WOOD SECURITIES, LLC
BD
CRD#: 138033
Westport, CT
Past
February 18, 2011 - June 3, 2016
TRANSCEND CAPITAL
BD
CRD#: 104483
WESTPORT, CT
Past
May 18, 2009 - February 18, 2011
PCS DUNBAR SECURITIES, LLC
BD
CRD#: 128144
WESTPORT, CT
Past
October 4, 2006 - April 29, 2009
GLB TRADING, INC
BD
CRD#: 125363
WESTPORT, CT
Past
March 14, 2003 - November 23, 2005
ELECTRONIC TRADING GROUP, LLC
BD
CRD#: 37453
WESTPORT, CT
Past
July 30, 2002 - January 24, 2003
COMPLETE TRADE
BD
CRD#: 104042
AUSTIN, TX
Past
October 19, 2001 - June 20, 2002
TRINIX SECURITIES LLC
BD
CRD#: 103360
ENCINITAS, CA
Past
October 17, 2000 - October 18, 2001
ON-SITE TRADING, INC.
BD
CRD#: 30271
GREAT NECK, NY
Past
April 17, 2000 - October 16, 2000
ELECTRONIC TRADING GROUP, LLC
BD
CRD#: 37453
NEW YORK, NY
Past
October 28, 1997 - May 8, 2000
ON-SITE TRADING, INC.
BD
CRD#: 30271
GREAT NECK, 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.
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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/26/2023)
RR
Connecticut(1/14/2022)
RR
Florida(10/5/2021)
RR
Maryland(6/5/2024)
RR
New York(4/5/2019)
RR
Wyoming(3/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/20/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 62
Date: 10/27/1997
Corporate Securities Limited Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
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)
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Contact information
Main Address
40 Wall Street 36th Floor 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 (17 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 175 |
| AUM (Assets Under Management) | $ 153,036,482 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
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.
