Rupert Dickie Hope
Professional Summary
Rupert Dickie Hope was a registered financial advisor. Rupert was a previously registered financial professional and started their career in finance 2000 - 2023. Rupert had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 17, Series 24, Series 23, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
LAZARD ASSET MANAGEMENT SECURITIES LLC
Contact Information
Main Address
30 Rockefeller Plaza 56th Floor, New York, NY, 10112Mailing Address
30 Rockefeller Plaza 56th Floor, New York, NY, 10112Phone Number
(212) 632-6000Established
Delaware since 05/01/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 17 — Limited Registered Representative Examination
Passed Mar 1995Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2000About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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