Greg M. Graziano

LAZARD ASSET MANAGEMENT SECURITIES LLC

New York, NY 10112

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CRD#: 3090431

Professional summary

Greg Michael Graziano is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

Greg is registered as a RR (Registered Representative) and started their career in finance in 2001. Greg has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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 Greg Michael Graziano'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

March 9, 2018 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

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

CRD#: 129119

New York, NY

Past

June 13, 2012 - October 27, 2014

RAINIER INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105556

SEATTLE, WA

Past

January 29, 2008 - July 1, 2014

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

February 8, 2006 - November 29, 2007

UST SECURITIES CORP.

CRD#: 13906

NEW YORK, NY

Past

June 19, 2003 - January 24, 2006

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

May 30, 2003 - June 26, 2003

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

May 14, 2001 - May 30, 2003

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

January 16, 2001 - May 14, 2001

FORUM FINANCIAL SERVICES, LLC

CRD#: 38816

PORTLAND, ME

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
(6/13/2018)

Alaska
(7/9/2018)

Arizona
(7/9/2018)

Arkansas
(7/9/2018)

California
(6/13/2018)

Colorado
(9/7/2018)

Connecticut
(3/16/2018)

Delaware
(7/10/2018)

District of Columbia
(3/15/2018)

Florida
(3/15/2018)

Georgia
(6/19/2018)

Hawaii
(7/20/2018)

Idaho
(3/15/2018)

Illinois
(3/22/2018)

Indiana
(7/6/2018)

Iowa
(7/9/2018)

Kansas
(7/24/2018)

Kentucky
(7/9/2018)

Louisiana
(3/7/2019)

Maine
(3/15/2018)

Maryland
(3/16/2018)

Massachusetts
(6/13/2018)

Michigan
(6/14/2018)

Minnesota
(6/17/2018)

Mississippi
(7/11/2018)

Missouri
(6/12/2018)

Montana
(6/13/2018)

Nebraska
(7/5/2018)

Nevada
(7/11/2018)

New Hampshire
(6/13/2018)

New Jersey
(7/6/2018)

New Mexico
(7/6/2018)

New York
(6/13/2018)

North Carolina
(6/12/2018)

North Dakota
(6/12/2018)

Ohio
(3/15/2018)

Oklahoma
(7/9/2018)

Oregon
(6/20/2018)

Pennsylvania
(6/13/2018)

Puerto Rico
(3/21/2018)

Rhode Island
(6/18/2018)

South Carolina
(7/12/2018)

South Dakota
(7/9/2018)

Tennessee
(6/13/2018)

Texas
(6/26/2018)

Utah
(6/13/2018)

Vermont
(7/17/2018)

Virginia
(7/9/2018)

Washington
(7/6/2018)

West Virginia
(8/13/2018)

Wisconsin
(6/13/2018)

Wyoming
(7/9/2018)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/12/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/6/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/7/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/12/2001

Investment Company Products/Variable Contracts 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)

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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

Greg M. Graziano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Greg Michael Graziano's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAINIER INVESTMENT MANAGEMENT LLC

QUASAR DISTRIBUTORS, LLC

UST SECURITIES CORP.

DWS DISTRIBUTORS, INC.

DEAM INVESTOR SERVICES, INC.

DEUTSCHE BANK SECURITIES INC.

FORUM FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/12/2018

Series 63

Date: 4/6/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/7/2002

Series 6

Date: 1/12/2001

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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