Joseph T. Daly

LAZARD ASSET MANAGEMENT LLC

New York, NY 10112

Some features on this profile are disabled

CRD#: 2259592

Professional summary

Joseph Timothy Daly JR, who also goes by Joseph Timothy Daly, Joseph Jr Timothy Daly, 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.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 8 firms and has passed the Series 66, Series 63, Series 31, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Timothy Daly | Joseph Jr Timothy Daly

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 Joseph Timothy Daly JR'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, 2025 - Present

LAZARD ASSET MANAGEMENT LLC

Office #1: 30 Rockefeller Plaza, New York, NY 10112

RIA

CRD#: 122836

New York, NY

Current

June 24, 2025 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

Office #1: 30 Rockefeller Plaza 56th Floor, New York, NY, 10112

CRD#: 129119

New York, NY

Past

February 28, 2007 - March 10, 2025

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

NORWELL, MA

Past

May 1, 2003 - March 10, 2025

THORNBURG SECURITIES LLC

CRD#: 14857

SANTA FE, NM

Past

February 28, 2002 - February 11, 2003

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

BOSTON, MA

Past

October 18, 1999 - February 28, 2002

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

SEATTLE, WA

Past

December 5, 1994 - September 29, 1999

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

October 27, 1993 - December 31, 1994

MFS FINANCIAL SERVICES, INC.

CRD#: 18309

BOSTON, MA

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.

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

Alabama
(6/24/2025)

Alaska
(6/24/2025)

Arizona
(6/24/2025)

Arkansas
(6/24/2025)

California
(6/24/2025)

Colorado
(6/24/2025)

Connecticut
(6/24/2025)

Delaware
(6/24/2025)

District of Columbia
(6/24/2025)

Florida
(6/24/2025)

Georgia
(6/24/2025)

Hawaii
(6/24/2025)

Idaho
(6/24/2025)

Illinois
(6/24/2025)

Indiana
(6/24/2025)

Iowa
(6/24/2025)

Kansas
(6/24/2025)

Kentucky
(6/24/2025)

Louisiana
(6/24/2025)

Maine
(6/24/2025)

Maryland
(6/24/2025)

Massachusetts
(6/24/2025)

Michigan
(6/24/2025)

Minnesota
(6/24/2025)

Mississippi
(6/24/2025)

Missouri
(6/24/2025)

Montana
(6/24/2025)

Nebraska
(6/24/2025)

Nevada
(6/24/2025)

New Hampshire
(6/24/2025)

New Jersey
(6/24/2025)

New Mexico
(6/24/2025)

New York
(6/24/2025)

North Carolina
(6/24/2025)

North Dakota
(6/24/2025)

Ohio
(6/24/2025)

Oklahoma
(6/24/2025)

Oregon
(6/24/2025)

Pennsylvania
(6/24/2025)

Puerto Rico
(6/24/2025)

Rhode Island
(6/24/2025)

South Carolina
(6/24/2025)

South Dakota
(6/24/2025)

Tennessee
(6/24/2025)

Texas
(6/24/2025)

IAR

Texas
(10/2/2025)

Utah
(6/24/2025)

Vermont
(6/24/2025)

Virginia
(6/24/2025)

Washington
(6/24/2025)

West Virginia
(6/24/2025)

Wisconsin
(6/24/2025)

Wyoming
(6/24/2025)

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

IAR

Series 66

Date: 2/27/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 9/19/2025

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/26/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph T. Daly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Timothy Daly JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAZARD ASSET MANAGEMENT SECURITIES LLC

THORNBURG INVESTMENT MANAGEMENT INC

THORNBURG SECURITIES LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

MFS FUND DISTRIBUTORS, INC.

MFS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

LAZARD ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/27/2007

Series 63

Date: 11/26/1997

Series 31

Date: 9/19/2025

SIE

Date: 10/1/2018

Series 7

Date: 8/23/2000

Series 6

Date: 10/26/1993

FINRA

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

Contact information

Similar Advisors