DR
David P. Reiss
R. F. LAFFERTY & CO.
Westport, CT 06824
Some features on this profile are disabled
CRD#: 6591492
DR
Professional summary
David Peter Reiss is a registered financial advisor currently at R. F. LAFFERTY & CO., INC. located in Westport, Connecticut.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. David has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) FIRST SERV BRIDGEPORT - PO BOX 185574, HAMDEN, CT 06518 - NON-PROFIT URBAN YOUTH PROGRAM - BOARD CHAIR SINCE 08/2015 - APPROX 12 HRS/MO - NO COMPENSATION 2) DAVID REISS - 64 MOONGATE, LAKE PLACID, NY 12946 - RENTAL PROPERTY - OWNER/LANDLORD SINCE 10/2012 - APPROX 5 HRS/MO - RENTAL INCOME 3) DPR WEALTH MANAGEMENT 8 WRIGHT STREET, 1ST FLOOR, WESTPORT, CT 06824 - PRIVATE LABEL ENTITY FOR SECURITIES BUSINESS - MANAGING DIRECTOR SINCE 2/2020 - APPROX 160 HRS/MO - COMMISSIONS
CRS (Client Relationship Summary) - RIA
Click below to view David Peter Reiss's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Peter Reiss'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
January 22, 2025 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 8 Wright Street 1st Floor, Westport, CT 06824RIA
BD
CRD#: 2498
Westport, CT
Current
January 22, 2025 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 40 Wall Street 36th Floor Suite 3602, New York, NY 10005Office #2: 40 Wall Street Suite 3602, New York, NY 10005RIA
BD
CRD#: 2498
NEW YORK, NY
Past
January 31, 2019 - January 27, 2025
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
WESTPORT, CT
Past
January 31, 2019 - January 27, 2025
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
WESTPORT, CT
Past
March 2, 2016 - January 29, 2019
MORGAN STANLEY
RIA
CRD#: 149777
FAIRFIELD, CT
Past
February 8, 2016 - January 29, 2019
MORGAN STANLEY
BD
CRD#: 149777
FAIRFIELD, CT
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.
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(1/22/2025)
RR
Connecticut(1/22/2025)
IAR
Connecticut(1/22/2025)
RR
Florida(1/22/2025)
RR
Maine(1/22/2025)
RR
Massachusetts(1/22/2025)
RR
New York(1/22/2025)
RR
Rhode Island(1/22/2025)
RR
Vermont(1/22/2025)
RR
Virginia(1/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
