Spencer D. Laufer
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2016 - May 1, 2017
J.H. DARBIE & CO., INC.
January 29, 2015 - January 29, 2016
JOSEPH STONE CAPITAL L.L.C.
May 2, 2014 - December 4, 2014
NATIONAL SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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