Keith A. Wosneski

LAZARD ASSET MANAGEMENT SECURITIES LLC

New York, NY 10112

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CRD#: 2562252

Professional summary

Keith Alan Wosneski is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

Keith is registered as a RR (Registered Representative) and started their career in finance in 1995. Keith has worked at 11 firms and has passed the Series 63, Series 3, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Keith Alan Wosneski'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

August 12, 2025 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

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

CRD#: 129119

New York, NY

Past

July 6, 2023 - July 2, 2025

MAN INVESTMENTS INC.

CRD#: 15770

BOSTON, MA

Past

July 23, 2018 - April 18, 2023

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Boston, MA

Past

January 2, 2014 - April 3, 2018

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

BOSTON, MA

Past

January 24, 2013 - December 31, 2013

OLD MUTUAL INVESTMENT PARTNERS

CRD#: 44916

BOSTON, MA

Past

August 14, 2009 - December 15, 2011

MMC SECURITIES LLC

CRD#: 103846

CHICAGO, IL

Past

March 7, 2003 - September 5, 2007

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

August 27, 2001 - September 5, 2002

BLACKROCK EXECUTION SERVICES

CRD#: 39438

NEW YORK, NY

Past

April 29, 1997 - November 27, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 7, 1997 - April 23, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 9, 1995 - December 3, 1996

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, 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
(8/12/2025)

Alaska
(8/12/2025)

Arizona
(8/12/2025)

Arkansas
(8/12/2025)

California
(8/12/2025)

Colorado
(8/12/2025)

Connecticut
(8/12/2025)

Delaware
(8/12/2025)

District of Columbia
(8/12/2025)

Florida
(8/12/2025)

Georgia
(8/12/2025)

Hawaii
(8/12/2025)

Idaho
(8/12/2025)

Illinois
(8/12/2025)

Indiana
(8/12/2025)

Iowa
(8/12/2025)

Kansas
(8/12/2025)

Kentucky
(8/12/2025)

Louisiana
(8/12/2025)

Maine
(8/12/2025)

Maryland
(8/12/2025)

Massachusetts
(8/12/2025)

Michigan
(8/12/2025)

Minnesota
(8/12/2025)

Mississippi
(8/12/2025)

Missouri
(8/12/2025)

Montana
(8/12/2025)

Nebraska
(8/12/2025)

Nevada
(8/12/2025)

New Hampshire
(8/12/2025)

New Jersey
(8/12/2025)

New Mexico
(8/12/2025)

New York
(8/12/2025)

North Carolina
(8/12/2025)

North Dakota
(8/12/2025)

Ohio
(8/15/2025)

Oklahoma
(8/12/2025)

Oregon
(8/12/2025)

Pennsylvania
(8/12/2025)

Puerto Rico
(8/12/2025)

Rhode Island
(8/12/2025)

South Carolina
(8/12/2025)

South Dakota
(8/12/2025)

Tennessee
(8/12/2025)

Texas
(8/12/2025)

Utah
(8/12/2025)

Vermont
(8/12/2025)

Virginia
(8/12/2025)

Washington
(8/12/2025)

West Virginia
(8/12/2025)

Wisconsin
(8/12/2025)

Wyoming
(8/12/2025)

Exams

State Security Law Exam

Series 63

Date: 8/23/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/31/2023

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/7/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/28/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/12/2025

General Securities Principal 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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Keith A. Wosneski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Alan Wosneski's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAN INVESTMENTS INC.

FORESIDE FUND SERVICES, LLC

FUNDS DISTRIBUTOR, LLC

OLD MUTUAL INVESTMENT PARTNERS

MMC SECURITIES LLC

NORTHERN TRUST SECURITIES, INC.

BLACKROCK EXECUTION SERVICES

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

DWS DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/23/1995

Series 3

Date: 8/31/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/7/1996

Series 6

Date: 6/28/1995

Series 24

Date: 2/12/2025

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

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