Michael A. Olson

LAZARD ASSET MANAGEMENT SECURITIES LLC

New York, NY 10112

Some features on this profile are disabled

CRD#: 2402774

Professional summary

Michael Allen Olson, who also goes by Mike Olson, is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Olson

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) - BD

Click below to view Michael Allen Olson'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

November 9, 2007 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

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

CRD#: 129119

New York, NY

Past

July 21, 2004 - October 5, 2007

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

SAINT CHARLES, IL

Past

February 25, 2003 - October 5, 2007

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

February 15, 1996 - February 14, 2003

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

February 24, 1995 - January 12, 1996

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Past

December 14, 1993 - June 8, 1995

FIRST COLONIAL INVESTMENT SERVICES, INC.

CRD#: 26969

ROSEMONT, IL

State Registrations and Notice Filings

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

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
(11/9/2007)

Alaska
(11/9/2007)

Arizona
(11/9/2007)

Arkansas
(11/9/2007)

California
(11/9/2007)

Colorado
(11/9/2007)

Connecticut
(11/9/2007)

Delaware
(11/9/2007)

District of Columbia
(11/9/2007)

Florida
(11/9/2007)

Georgia
(11/9/2007)

Hawaii
(11/9/2007)

Idaho
(11/9/2007)

Illinois
(11/9/2007)

Indiana
(11/9/2007)

Iowa
(11/9/2007)

Kansas
(11/9/2007)

Kentucky
(11/9/2007)

Louisiana
(11/9/2007)

Maine
(11/9/2007)

Maryland
(11/9/2007)

Massachusetts
(11/9/2007)

Michigan
(11/9/2007)

Minnesota
(11/9/2007)

Mississippi
(11/9/2007)

Missouri
(11/9/2007)

Montana
(11/9/2007)

Nebraska
(11/9/2007)

Nevada
(11/9/2007)

New Hampshire
(11/9/2007)

New Jersey
(11/9/2007)

New Mexico
(11/9/2007)

New York
(11/9/2007)

North Carolina
(11/9/2007)

North Dakota
(11/9/2007)

Ohio
(11/9/2007)

Oklahoma
(11/9/2007)

Oregon
(11/9/2007)

Pennsylvania
(11/9/2007)

Rhode Island
(11/9/2007)

South Carolina
(11/9/2007)

South Dakota
(11/9/2007)

Tennessee
(11/9/2007)

Texas
(11/9/2007)

Utah
(11/9/2007)

Vermont
(11/9/2007)

Virginia
(11/9/2007)

Washington
(11/9/2007)

West Virginia
(11/9/2007)

Wisconsin
(11/9/2007)

Wyoming
(11/9/2007)

Exams

State Security Law Exam

IAR

Series 65

Date: 7/19/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/12/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/9/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119 / SEC#: , 8-66201

Broker-Dealer Firm Regulated by FINRA (New York district office)

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 56th Floor, New York, NY, 10112

Mailing Address

30 Rockefeller Plaza 56th Floor, New York, NY, 10112

Phone number

(212) 632-6521

Established

Delaware since 05/01/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LAZARD ASSET MANAGEMENT LLC	SOLE MEMBER AND MANAGING MEMBER	122836
ANDERSON, MARK RICHARD	CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER	4769151
MASSARONI, ROBERT MALCOLM	PRINCIPAL FINANCIAL AND OPERATIONS OFFICER	2366443
PAUL, NATHAN ABRAHAM	CHIEF EXECUTIVE OFFICER	4314144

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

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

Michael A. Olson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Allen Olson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

DWS DISTRIBUTORS, INC.

FIRSTAR INVESTMENT SERVICES,INC.

FIRST COLONIAL INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/2004

Series 63

Date: 12/7/1993

SIE

Date: 10/1/2018

Series 31

Date: 11/12/2012

Series 7

Date: 11/9/1993

FINRA

Current Firm

LAZARD ASSET MANAGEMENT SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LAZARD ASSET MANAGEMENT SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors