David H. Willis
Professional summary
David Hamilton Willis, who also goes by Dave Willis, David Hamilton Willis Mr., is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Hamilton Willis's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2007 - Present
LAZARD ASSET MANAGEMENT SECURITIES LLC
Office #1: 30 Rockefeller Plaza 56th Floor, New York, NY, 10112May 16, 2000 - January 8, 2007
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC
May 5, 2000 - January 8, 2007
NICHOLAS-APPLEGATE SECURITIES LLC
August 19, 1999 - May 10, 2000
FORUM FINANCIAL SERVICES, LLC
July 8, 1997 - July 23, 1999
SEI INVESTMENTS DISTRIBUTION CO.
February 3, 1994 - August 11, 1995
PRUDENTIAL EQUITY GROUP, LLC
August 24, 1992 - October 15, 1993
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
LAZARD ASSET MANAGEMENT SECURITIES LLC
CRD#: 129119 / SEC#: , 8-66201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Red Flags
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