Alan E. Eisenberg

Some features on this profile are disabled

CRD#: 2104280

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alan Edward Eisenberg was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1991. Alan had worked at 5 firms and has passed the Series 66, Series 63, Series 31, SIE, Series 3, Series 7, Series 22, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Arpeggi LLC - 100% owner of the business; 405 East 56th Street, New York, NY 10022. It's an entity established prior to joining Lazard which receives compensation from past transactions. Start date - 07/18/2019. Spends 1 hour a month.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 12, 2021 - June 25, 2025

LAZARD ASSET MANAGEMENT LLC

RIA

CRD#: 122836

NEW YORK, NY

Past

December 24, 2019 - June 25, 2025

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

December 9, 2002 - September 29, 2004

GLOCAP FUNDING, LLC

CRD#: 122364

NEW YORK, NY

Past

November 15, 1993 - April 11, 1997

FORTIS CAPITAL INVESTMENTS INC.

CRD#: 15006

NEW YORK, NY

Past

January 21, 1991 - November 15, 1993

MEESPIERSON INVESTMENT FINANCE (U.S.) INC.

CRD#: 26106

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".

LAZARD ASSET MANAGEMENT LLC

CRD#: 122836 / SEC#: 801-61701

RIA

Registered Investment Advisory firm - (12/31/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/29/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/6/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 12/10/2020

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 9/23/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/16/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/8/2002

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 1/18/1991

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 30

Date: 4/17/2015

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/2002

General Securities Principal Examination

Current Firm

LAZARD ASSET MANAGEMENT LLC

CRD#: 122836 / SEC#: 801-61701

RIA

Registered Investment Advisory firm - (12/31/2002 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

30 Rockefeller Plaza, New York, NY 10112

Mailing Address

Phone number

(212) 632-6000

Established

Firm type

Fiscal year end

# of Employees

507

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAZARD FAMILY OFFICE PARTNERS (3/27/2025)

FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	5,668
AUM (Assets Under Management)	$ 128,878,312,897

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
11/26/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/22/2022	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alan E. Eisenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LAZARD ASSET MANAGEMENT SECURITIES LLC

GLOCAP FUNDING, LLC

FORTIS CAPITAL INVESTMENTS INC.

MEESPIERSON INVESTMENT FINANCE (U.S.) INC.

Primary Firm SEC Registration

LAZARD ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/29/2020

Series 63

Date: 11/6/2002

Series 31

Date: 12/10/2020

SIE

Date: 9/23/2019

Series 3

Date: 1/16/2013

Series 7

Date: 10/8/2002

Series 22

Date: 1/18/1991

Series 30

Date: 4/17/2015

Series 24

Date: 10/22/2002

Current Firm

LAZARD ASSET MANAGEMENT LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LAZARD ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors