David Laufer is a registered investment advisor at Needham & Company, LLC, based in Garden City, NY, with 24 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 20 clients.
Compensation
Commission-BasedFixed/Hourly
Firm Size
4 advisors
IM Fee
Planning only
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Location
Garden City, NY
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Needham & Company, LLC
September 2019 - Present · 7 yrs 1 mo
Needham & Company, LLC
September 2019 - Present · 7 yrs 1 mo
Needham & Company, LLCBroker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Oppenheimer & CO. INC.Broker
May 2012 - September 2019 · 7 yrs 4 mos
Oppenheimer & CO. INC.
May 2012 - September 2019 · 7 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2012 - May 2012 · 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2012 - May 2012 · 3 mos
Canaccord Genuity INC.Broker
May 2010 - June 2011 · 1 yr 1 mo
BMO Capital Markets CORP.Broker
May 2001 - April 2010 · 8 yrs 11 mos
State Registrations5 states
CAFLMAMNNY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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