Lawrence D. Zerg

ZACKS INVESTMENT MANAGEMENT

VALENCIA, CA

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CRD#: 1573095

Professional summary

Lawrence David Zerg, who also goes by Larry Zerg, is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Valencia, California and LBMZ SECURITIES, INC. located in Chicago, Illinois.

Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Lawrence has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Larry Zerg

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) - RIA

Click below to view Lawrence David Zerg's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 2, 2006 - Present

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

VALENCIA, CA

Current

December 19, 2006 - Present

LBMZ SECURITIES, INC.

Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606

CRD#: 7874

CHICAGO, IL

Past

November 2, 1998 - August 24, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

VALENCIA, CA

Past

May 30, 1994 - August 24, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 31, 1993 - May 25, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 28, 1991 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 24, 1986 - May 29, 1991

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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.

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

IAR

California
(10/2/2006)

California
(12/19/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/22/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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.

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Advisor Monitoring

Firm Stability Insights

Lawrence D. Zerg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence David Zerg's CRS (Customer Relationship Summary).

Certified licenses

Experience

LBMZ SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/22/1986

SIE

Date: 10/1/2018

Series 7

Date: 10/18/1986

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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