Managing Director, Head of Trading & Sales Trading · Needham & Company, LLC
David Michael Laufer
CRD 4336854 · Named on Form ADV at one SEC-registered adviser
At a glance
Needham & Company, LLC, an SEC-registered broker-dealer firm based in New York, NY with $0 in regulatory assets, lists David Michael Laufer on its Form ADV as Managing Director, Head of Trading & Sales Trading, a control person.
Firms and roles
- Needham & Company, LLCManaging Director, Head of Trading & Sales TradingBroker-dealer firm · New York, NY · $0M in regulatory assets
AtlasMembers
David’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2012 (14 years)
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
David’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (8)
- John Joseph Jr PriorManaging Director, CEO of the Needham Group, Inc., Needham & Company, LLC
- James Michael AbbruzzeseManaging Director, Chief Administrative Officer & Acting Head of Sales, Needham & Company, LLC
- Andrew Joseph MalikManaging Director, Chairman, Needham & Company, LLC
- Jack James IacovoneManaging Director, CEO & Head of Investment Banking, Needham & Company, LLC
- Robert Joseph FiordalisoManaging Director, Chief Financial Officer, Needham & Company, LLC
3 more people named with David on the same filings, with titles and firms. Free in Atlas with a free account.
See all 8 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For David’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.