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DS

David Peter Stack

LAZARD ASSET MANAGEMENT SECURITIES

NEW YORK, NY

·CRD# 4148958·26 years experience

Professional Summary

David Peter Stack, who also goes by David Stack, is a registered financial advisor currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York. David is registered as a RR (Registered Representative) and started their career in finance in 2000. David has worked at 5 firms and has passed the Series 66, SIE, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

David Stack

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

LAZARD ASSET MANAGEMENT SECURITIES LLC·CRD# 129119

BD

30 Rockefeller Plaza 56th Floor, New York, NY, 10112

March 17, 2025 - Present

DWS DISTRIBUTORS, INC.·CRD# 37306

BD

New York, NY

March 17, 2017 - January 27, 2025

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC·CRD# 30107

BD

New York, NY

September 5, 2014 - January 11, 2017

UBS FINANCIAL SERVICES INC.·CRD# 8174

RIA

Weehawken, NJ

June 26, 2008 - July 23, 2014

UBS FINANCIAL SERVICES INC.·CRD# 8174

BD

Weehawken, NJ

March 26, 2001 - July 23, 2014

MORGAN STANLEY DW INC.·CRD# 7556

BD

Purchase, NY

May 15, 2000 - January 30, 2001

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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)

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) 632-6000

Established

Delaware since 05/01/2003

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Medium

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US 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
RYAN, JENNIFER ANNE	CHIEF EXECUTIVE OFFICER	3013355

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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

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(3/17/2025)

RR

Alaska
(3/17/2025)

RR

Arizona
(3/17/2025)

RR

Arkansas
(3/17/2025)

RR

California
(3/17/2025)

RR

Colorado
(3/17/2025)

RR

Connecticut
(3/17/2025)

RR

Delaware
(3/17/2025)

RR

District of Columbia
(3/17/2025)

RR

Florida
(3/17/2025)

RR

Georgia
(3/17/2025)

RR

Hawaii
(3/17/2025)

RR

Idaho
(3/17/2025)

RR

Illinois
(3/17/2025)

RR

Indiana
(3/17/2025)

RR

Iowa
(3/17/2025)

RR

Kansas
(3/17/2025)

RR

Kentucky
(3/17/2025)

RR

Louisiana
(3/17/2025)

RR

Maine
(3/17/2025)

RR

Maryland
(3/17/2025)

RR

Massachusetts
(3/17/2025)

RR

Michigan
(3/17/2025)

RR

Minnesota
(3/17/2025)

RR

Mississippi
(3/17/2025)

RR

Missouri
(3/17/2025)

RR

Montana
(3/17/2025)

RR

Nebraska
(3/17/2025)

RR

Nevada
(3/17/2025)

RR

New Hampshire
(3/17/2025)

RR

New Jersey
(3/17/2025)

RR

New Mexico
(3/17/2025)

RR

New York
(3/17/2025)

RR

North Carolina
(3/17/2025)

RR

North Dakota
(3/17/2025)

RR

Ohio
(3/17/2025)

RR

Oklahoma
(3/17/2025)

RR

Oregon
(3/17/2025)

RR

Pennsylvania
(3/17/2025)

RR

Puerto Rico
(3/17/2025)

RR

Rhode Island
(3/17/2025)

RR

South Carolina
(3/17/2025)

RR

South Dakota
(3/17/2025)

RR

Tennessee
(3/17/2025)

RR

Texas
(3/17/2025)

RR

Utah
(3/17/2025)

RR

Vermont
(3/17/2025)

RR

Virginia
(3/17/2025)

RR

Washington
(3/17/2025)

RR

West Virginia
(3/17/2025)

RR

Wisconsin
(3/17/2025)

RR

Wyoming
(3/17/2025)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2000About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Oct 2009About the Series 3 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jun 2002

Series 7 — General Securities Representative Examination

Passed May 2000About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Jul 2010About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Feb 2003About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view David Peter Stack's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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DS

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