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BM

Bennett F. Monson

LAZARD FRERES & CO. LLC
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 4352139
BM

Professional summary

Bennett Finn Monson, who also goes by Ben Monson, is a registered financial professional currently at LAZARD FRERES & CO. LLC located in Charlotte, North Carolina.

Bennett is registered as a RR (Registered Representative) and started their career in finance in 2002. Bennett has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ben Monson

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 Bennett Finn Monson's 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 31, 2022 - Present

LAZARD FRERES & CO. LLC

Office #1: 227 West Trade Street Suite 1900, Charlotte, NC 28202
BD
CRD#: 2528
CHARLOTTE, NC
Past

August 15, 2019 - March 31, 2022

LAZARD MIDDLE MARKET LLC

BD
CRD#: 146092
CHARLOTTE, NC
Past

January 21, 2011 - August 2, 2019

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

April 19, 2010 - January 28, 2011

REYNOLDS ADVISORY PARTNERS,LLC

BD
CRD#: 147603
DENVER, CO
Past

August 13, 2007 - July 30, 2009

EVERCORE GROUP L.L.C.

BD
CRD#: 42405
SAN FRANCISCO, CA
Past

July 18, 2005 - July 31, 2007

PIPER SANDLER & CO.

BD
CRD#: 665
SAN FRANCISCO, CA
Past

May 31, 2002 - August 19, 2003

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL

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
North Carolina
(3/31/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/10/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/29/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LF
LAZARD FRERES & CO. LLC
LAZARD ASSET MANAGEMENT | LAZARD FRERES & CO. LLC | LAZARD FRERES & CO.

CRD#: 2528 / SEC#: , 8-2595

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
30 Rockefeller Plaza, New York, NY 10020-5900
Mailing Address
30 Rockefeller Plaza, New York, NY 10020-5900
Phone number
(212) 632-6000
Established
New York since 05/01/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LAZARD GROUP LLCSOLE MEMBER
ANDERSON, MARK RICHARDCCO4769151
BERNHARD, JASON RUGGLESCEO1883841
WEBER, THOMAS JOSEPHCFO4854554

Disclosures

Regulatory Event14
Civil Event2

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 FRERES & CO. LLC

CRD#: 2528Charlotte, NC 28202

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