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DS

David P. Stack

LAZARD ASSET MANAGEMENT SECURITIES LLC
New York, NY 10112
Some features on this profile are disabled
CRD#: 4148958
DS

Professional summary

David Peter Stack, who also goes by David Stack, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Stack

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 David Peter Stack'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 17, 2025 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

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

March 17, 2017 - January 27, 2025

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
NEW YORK, NY
Past

September 5, 2014 - January 11, 2017

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
New York, NY
Past

June 26, 2008 - July 23, 2014

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

March 26, 2001 - July 23, 2014

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 15, 2000 - January 30, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
(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

State Security Law Exam
RR
IAR
Series 66
Date: 6/17/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/12/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 6/2/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/11/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/20/2010
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/8/2003
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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