Peter J. Hess
Professional summary
Peter J Hess, CIMA®, who also goes by Peter Joseph Hess Jr, Peter Joseph Jr Hess, is a registered financial advisor currently at LAZARD ASSET MANAGEMENT LLC located in New York, New York and LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Peter has worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, Series 31, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Peter J Hess's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 2022 - Present
LAZARD ASSET MANAGEMENT LLC
Office #1: 30 Rockefeller Plaza, New York, NY 10112September 28, 2022 - Present
LAZARD ASSET MANAGEMENT SECURITIES LLC
Office #1: 30 Rockefeller Plaza 56th Floor, New York, NY, 10112May 10, 2021 - September 16, 2022
CANTOR FITZGERALD INVESTMENT ADVISORS
May 6, 2021 - September 16, 2022
CANTOR FITZGERALD & CO.
September 1, 2011 - August 10, 2020
NUVEEN ASSET MANAGEMENT, LLC
January 16, 2008 - September 1, 2011
NUVEEN FUND ADVISORS, LLC
January 15, 2008 - August 7, 2020
NUVEEN SECURITIES, LLC
November 30, 2004 - January 8, 2008
BNY MELLON SECURITIES CORPORATION
August 27, 1992 - January 8, 2008
BNY MELLON SECURITIES CORPORATION
Primary Firm SEC Registration
LAZARD ASSET MANAGEMENT LLC
CRD#: 122836 / SEC#: 801-61701
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
LAZARD ASSET MANAGEMENT LLC
CRD#: 122836 / SEC#: 801-61701
Contact information
SEC notice filing (51 States and Territories)
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 | ||
| 11/26/2024 | ||
| 09/26/2023 | ||
| 11/22/2022 |
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.
