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MK

Michael P. Kaplan

LAZARD ASSET MANAGEMENT SECURITIES LLC
New York, NY 10112
Some features on this profile are disabled
CRD#: 2549203
MK

Professional summary

Michael Phillip Kaplan, who also goes by Mike Kaplan, 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 1994. Michael has worked at 8 firms and has passed the Series 63, Series 31, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Kaplan

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 Phillip Kaplan'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

May 24, 2023 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

Office #1: 30 Rockefeller Plaza 56th Floor, New York, NY, 10112
BD
CRD#: 129119
New York, NY
Past

August 9, 2012 - September 27, 2022

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

July 5, 2005 - June 21, 2012

ING FINANCIAL MARKETS LLC

BD
CRD#: 28872
NEW YORK, NY
Past

May 20, 2003 - June 13, 2005

THE ULTIMA GLOBAL MARKETS (USA), INC.

BD
CRD#: 47895
NEW YORK, NY
Past

June 13, 2000 - May 14, 2003

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

March 9, 2000 - July 3, 2000

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

May 15, 1997 - March 13, 2000

RENCAP SECURITIES, INC.

BD
CRD#: 37821
NEW YORK, NY
Past

November 21, 1994 - February 21, 1995

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(5/24/2023)
RR
Alaska
(5/24/2023)
RR
Arizona
(5/24/2023)
RR
Arkansas
(5/24/2023)
RR
California
(5/24/2023)
RR
Colorado
(5/24/2023)
RR
Connecticut
(5/24/2023)
RR
Delaware
(5/24/2023)
RR
District of Columbia
(5/24/2023)
RR
Florida
(5/24/2023)
RR
Georgia
(5/24/2023)
RR
Hawaii
(5/24/2023)
RR
Idaho
(5/24/2023)
RR
Illinois
(5/24/2023)
RR
Indiana
(5/24/2023)
RR
Iowa
(5/24/2023)
RR
Kansas
(5/24/2023)
RR
Kentucky
(5/24/2023)
RR
Louisiana
(5/24/2023)
RR
Maine
(5/24/2023)
RR
Maryland
(5/24/2023)
RR
Massachusetts
(5/24/2023)
RR
Michigan
(5/24/2023)
RR
Minnesota
(5/24/2023)
RR
Mississippi
(5/24/2023)
RR
Missouri
(5/24/2023)
RR
Montana
(5/24/2023)
RR
Nebraska
(5/24/2023)
RR
Nevada
(5/24/2023)
RR
New Hampshire
(5/24/2023)
RR
New Jersey
(5/24/2023)
RR
New Mexico
(5/24/2023)
RR
New York
(5/24/2023)
RR
North Carolina
(5/24/2023)
RR
North Dakota
(5/24/2023)
RR
Ohio
(5/26/2023)
RR
Oklahoma
(5/24/2023)
RR
Oregon
(5/24/2023)
RR
Pennsylvania
(5/24/2023)
RR
Puerto Rico
(5/24/2023)
RR
Rhode Island
(5/24/2023)
RR
South Carolina
(5/24/2023)
RR
South Dakota
(5/24/2023)
RR
Tennessee
(5/24/2023)
RR
Texas
(5/24/2023)
RR
Utah
(5/24/2023)
RR
Vermont
(5/24/2023)
RR
Virginia
(5/24/2023)
RR
Washington
(5/24/2023)
RR
West Virginia
(5/24/2023)
RR
Wisconsin
(5/24/2023)
RR
Wyoming
(5/24/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/12/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 8/10/2023
Futures Managed Funds Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/8/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LA
LAZARD ASSET MANAGEMENT SECURITIES LLC
LAZARD ASSET MANAGEMENT SECURITIES LLC

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

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

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LAZARD ASSET MANAGEMENT LLCSOLE MEMBER AND MANAGING MEMBER122836
ANDERSON, MARK RICHARDCHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER4769151
MASSARONI, ROBERT MALCOLMPRINCIPAL FINANCIAL AND OPERATIONS OFFICER2366443
PAUL, NATHAN ABRAHAMCHIEF EXECUTIVE OFFICER4314144

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.

Company Information

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119New York, NY 10112

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