Christopher M. Sego

LAZARD ASSET MANAGEMENT LLC

New York, NY 10112

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CRD#: 4142754

Professional summary

Christopher Milbourne Sego, who also goes by Chris M Sego, Chris Sego, is a registered financial advisor currently at LAZARD ASSET MANAGEMENT LLC located in New York, New York and LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris M Sego | Chris Sego

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) - RIA

Click below to view Christopher Milbourne Sego'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

December 21, 2011 - Present

LAZARD ASSET MANAGEMENT LLC

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

RIA

CRD#: 122836

New York, NY

Current

December 24, 2011 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

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

CRD#: 129119

New York, NY

Past

October 26, 2010 - December 6, 2011

GUGGENHEIM INVESTMENTS

RIA

CRD#: 105477

NEW YORK, NY

Past

January 26, 2009 - October 28, 2010

RYDEX ADVISORY SERVICES, LLC

RIA

CRD#: 132735

ROCKVILLE, MD

Past

March 7, 2006 - December 6, 2011

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

ROCKVILLE, MD

Past

October 4, 2002 - March 3, 2006

EVERLAKE DISTRIBUTORS, LLC

CRD#: 100460

NORTHBROOK, IL

Past

April 14, 2000 - October 4, 2002

AFD, INC.

CRD#: 34047

NORTHBROOK, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LAZARD ASSET MANAGEMENT LLC

CRD#: 122836 / SEC#: 801-61701

RIA

Registered Investment Advisory firm - (12/31/2002 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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
(12/24/2011)

Alaska
(12/24/2011)

Arizona
(12/24/2011)

Arkansas
(12/24/2011)

California
(12/24/2011)

Colorado
(12/24/2011)

Connecticut
(12/24/2011)

Delaware
(12/24/2011)

District of Columbia
(12/24/2011)

Florida
(12/24/2011)

Georgia
(12/24/2011)

Hawaii
(12/24/2011)

Idaho
(12/24/2011)

Illinois
(12/24/2011)

Indiana
(12/24/2011)

Iowa
(12/24/2011)

Kansas
(12/24/2011)

Kentucky
(12/24/2011)

Louisiana
(12/24/2011)

Maine
(12/24/2011)

Maryland
(12/24/2011)

Massachusetts
(12/24/2011)

Michigan
(12/24/2011)

Minnesota
(12/24/2011)

Mississippi
(12/24/2011)

Missouri
(12/24/2011)

Montana
(12/24/2011)

Nebraska
(12/24/2011)

Nevada
(12/24/2011)

New Hampshire
(12/24/2011)

New Jersey
(12/24/2011)

New Mexico
(12/24/2011)

New York
(12/24/2011)

North Carolina
(1/3/2012)

North Dakota
(12/24/2011)

Ohio
(12/24/2011)

Oklahoma
(12/24/2011)

Oregon
(12/24/2011)

Pennsylvania
(12/24/2011)

Rhode Island
(12/24/2011)

South Carolina
(12/24/2011)

South Dakota
(12/24/2011)

IAR

Texas
(12/21/2011)

Texas
(12/24/2011)

Utah
(12/24/2011)

Vermont
(12/24/2011)

Virginia
(12/24/2011)

Washington
(12/24/2011)

West Virginia
(12/24/2011)

Wisconsin
(12/24/2011)

Wyoming
(12/24/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/13/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/30/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/10/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/13/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/6/2002

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

LAZARD ASSET MANAGEMENT LLC

CRD#: 122836 / SEC#: 801-61701

RIA

Registered Investment Advisory firm - (12/31/2002 Approved)

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Contact information

Main Address

30 Rockefeller Plaza, New York, NY 10112

Mailing Address

Phone number

(212) 632-6000

Established

Firm type

Fiscal year end

# of Employees

507

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAZARD FAMILY OFFICE PARTNERS (3/27/2025)

FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	5,668
AUM (Assets Under Management)	$ 128,878,312,897

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
11/26/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/22/2022	Cover Page	Report

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

Christopher M. Sego

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Milbourne Sego's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAZARD ASSET MANAGEMENT SECURITIES LLC

GUGGENHEIM INVESTMENTS

RYDEX ADVISORY SERVICES, LLC

GUGGENHEIM DISTRIBUTORS, LLC

EVERLAKE DISTRIBUTORS, LLC

AFD, INC.

Primary Firm SEC Registration

LAZARD ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/13/2009

Series 63

Date: 11/12/2001

SIE

Date: 10/1/2018

Series 31

Date: 10/30/2012

Series 7

Date: 11/10/2005

Series 6

Date: 4/13/2000

Series 26

Date: 2/6/2002

FINRA

Current Firm

LAZARD ASSET MANAGEMENT LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LAZARD ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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