David Michael Laufer
Professional Summary
David Michael Laufer, who also goes by David M Laufer, David Laufer, David Michael Ludwig, is a registered financial advisor currently at NEEDHAM & COMPANY, LLC located in New York, New York. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 5 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David M Laufer, David Laufer, David Michael Ludwig
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
Contact Information
Main Address
250 Park Avenue 10th Floor, New York, NY 10177Mailing Address
250 Park Avenue 10th Floor, New York, NY 10177Phone Number
(212) 371-8300Established
Delaware since 04/04/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
195SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEEDHAM HOLDINGS, LLC | MEMBER | — |
| IACOVONE, JACK JAMES | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | 2877398 |
| PRIOR, JOHN JOSEPH JR | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | 1076802 |
| ABBRUZZESE, JAMES MICHAEL | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | 2960715 |
| FIORDALISO, ROBERT JOSEPH | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | 2518397 |
| LAUFER, DAVID MICHAEL | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | 4336854 |
| MALIK, ANDREW JOSEPH | MANAGING DIRECTOR, CHAIRMAN | 317860 |
| MALLOY, JOHN PATRICK | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 5322002 |
| MALONEY, THOMAS ANTHONY | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 2386331 |
| MERLINO, SALVATORE ANTHONY | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 4397078 |
Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
State Registrations and Notice Filings
(9/23/2019)
(3/18/2026)
(6/28/2022)
(9/23/2019)
(9/23/2019)
(2/15/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 2004SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Michael Laufer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Michael Laufer's CRS (Customer Relationship Summary).
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