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SL

Spencer D. Laufer

Some features on this profile are disabled
CRD#: 6312867
SL

Professional summary

Spencer David Laufer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Spencer is a previously registered financial professional and started their career in finance in 2014. Prior to being barred, Spencer had worked at 3 firms, which includes J.H. DARBIE & CO. INC., JOSEPH STONE CAPITAL L.L.C., NATIONAL SECURITIES CORPORATION.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Spencer Laufer

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

October 5, 2016 - May 1, 2017

J.H. DARBIE & CO., INC.

BD
CRD#: 43520
NEW YORK, NY
Past

January 29, 2015 - January 29, 2016

JOSEPH STONE CAPITAL L.L.C.

BD
CRD#: 159744
AVENTURA, FL
Past

May 2, 2014 - December 4, 2014

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
MIAMI, FL

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: 5/29/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/2014
General Securities Representative Examination

Current Firm

JD
J.H. DARBIE & CO., INC.
J.H. DARBIE & CO., INC. | J.H. DARBIE ADVISORY

CRD#: 43520 / SEC#: , 8-50335

Arizona
Registered Investment Advisory firm - SEC (7/3/2024 Approved)
New Jersey
Registered Investment Advisory firm - SEC (1/7/2008 Approved)
New York
Registered Investment Advisory firm - SEC (1/7/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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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
48 Wall St., Suite 1206. Suite 1206, New York, NY 10005
Mailing Address
48 Wall St., Suite 1206. C/o Robert Rabinowitz, New York, NY 10005
Phone number
(212) 269-7271
Established
New York since 06/03/1997
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
5

FINRA licenses (46 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
RABINOWITZ, ROBERT YPRES, GSP2821450
ANDERSON, ERIK JASONCHIEF COMPLIANCE OFFICER2686661
MATSIS, MICHAEL AAMLCO1455158
NAVEED, HASNAINFINOP, POO, PFO7004810
0

Disclosures

Regulatory Event10
Civil Event1
Arbitration1

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

J.H. DARBIE & CO., INC.

CRD#: 43520

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