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NK

Neil A. Kotecha

LAZARD ASSET MANAGEMENT SECURITIES LLC
New York, NY 10112
Some features on this profile are disabled
CRD#: 2915796
NK

Professional summary

Neil Anthony Somil Kotecha is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

Neil is registered as a RR (Registered Representative) and started their career in finance in 2003. Neil has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Neil Anthony Somil Kotecha'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

January 24, 2024 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

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

December 1, 2020 - December 9, 2022

HIGHTOWER SECURITIES, LLC

BD
CRD#: 116681
CHICAGO, IL
Past

September 4, 2018 - June 14, 2019

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
New York, NY
Past

October 8, 2008 - November 14, 2016

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

August 28, 2003 - February 12, 2007

LPL FINANCIAL LLC

BD
CRD#: 6413
BOSTON, MA

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
(1/24/2024)
RR
Alaska
(1/24/2024)
RR
Arizona
(1/24/2024)
RR
Arkansas
(1/24/2024)
RR
California
(1/24/2024)
RR
Colorado
(1/24/2024)
RR
Connecticut
(1/24/2024)
RR
Delaware
(1/24/2024)
RR
District of Columbia
(1/24/2024)
RR
Florida
(1/24/2024)
RR
Georgia
(1/24/2024)
RR
Hawaii
(1/24/2024)
RR
Idaho
(1/24/2024)
RR
Illinois
(1/24/2024)
RR
Indiana
(1/24/2024)
RR
Iowa
(1/24/2024)
RR
Kansas
(1/24/2024)
RR
Kentucky
(1/24/2024)
RR
Louisiana
(1/24/2024)
RR
Maine
(1/24/2024)
RR
Maryland
(1/24/2024)
RR
Massachusetts
(1/24/2024)
RR
Michigan
(1/24/2024)
RR
Minnesota
(1/24/2024)
RR
Mississippi
(1/24/2024)
RR
Missouri
(1/24/2024)
RR
Montana
(1/24/2024)
RR
Nebraska
(1/24/2024)
RR
Nevada
(1/24/2024)
RR
New Hampshire
(1/24/2024)
RR
New Jersey
(1/24/2024)
RR
New Mexico
(1/24/2024)
RR
New York
(1/24/2024)
RR
North Carolina
(1/24/2024)
RR
North Dakota
(1/24/2024)
RR
Ohio
(1/24/2024)
RR
Oklahoma
(1/24/2024)
RR
Oregon
(1/24/2024)
RR
Pennsylvania
(1/24/2024)
RR
Puerto Rico
(1/24/2024)
RR
Rhode Island
(1/24/2024)
RR
South Carolina
(1/24/2024)
RR
South Dakota
(1/24/2024)
RR
Tennessee
(1/24/2024)
RR
Texas
(1/24/2024)
RR
Utah
(1/24/2024)
RR
Vermont
(1/24/2024)
RR
Virginia
(1/24/2024)
RR
Washington
(1/24/2024)
RR
West Virginia
(1/24/2024)
RR
Wisconsin
(1/24/2024)
RR
Wyoming
(1/24/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/24/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/19/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 12/3/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 8/25/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/9/2003
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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