DL
David M. Laufer
NEEDHAM & COMPANY
New York, NY 10177
Some features on this profile are disabled
CRD#: 4336854
DL
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 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David M Laufer | David Laufer | David Michael Ludwig
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) - 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).
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
September 24, 2019 - Present
NEEDHAM & COMPANY, LLC
Office #1: 250 Park Avenue 10th Floor, New York, NY 10177RIA
BD
CRD#: 16360
New York, NY
Current
September 23, 2019 - Present
NEEDHAM & COMPANY, LLC
Office #1: 250 Park Avenue 10th Floor, New York, NY 10177RIA
BD
CRD#: 16360
New York, NY
Past
May 29, 2012 - September 20, 2019
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
NEW YORK, NY
Past
May 29, 2012 - September 20, 2019
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
February 24, 2012 - May 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GARDEN CITY, NY
Past
February 1, 2012 - May 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GARDEN CITY, NY
Past
May 5, 2010 - June 9, 2011
CANACCORD GENUITY LLC
BD
CRD#: 1020
NEW YORK, NY
Past
May 23, 2001 - April 29, 2010
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
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".
N&
NEEDHAM & COMPANY, LLC
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(9/23/2019)
RR
Illinois(9/23/2019)
RR
Massachusetts(6/28/2022)
RR
Minnesota(9/23/2019)
RR
New York(9/23/2019)
IAR
New York(2/15/2023)
Exams
State Security Law Exam
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
RR
Series 55
Date: 4/19/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
N&
NEEDHAM & COMPANY, LLC
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
250 Park Avenue 10th Floor, New York, NY 10177
Mailing Address
250 Park Avenue 10th Floor, New York, NY 10177
Phone number
(212) 371-8300
Established
Delaware since 04/04/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
185
SEC notice filing (14 States and Territories)
FINRA licenses (53 States and Territories)
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 | 27 |
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.
