Kimberly B. Tilley

LAZARD ASSET MANAGEMENT SECURITIES LLC

New York, NY 10112

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CRD#: 4364411

Professional summary

Kimberly Britain Tilley, who also goes by Kim Louise Britain, Kimberly Louise Britain, is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

Kimberly is registered as a RR (Registered Representative) and started their career in finance in 2001. Kimberly has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kim Louise Britain | Kimberly Louise Britain

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 Kimberly Britain Tilley'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

April 1, 2004 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

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

CRD#: 129119

New York, NY

Past

August 2, 2002 - April 1, 2004

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

Past

April 23, 2001 - July 30, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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
(4/1/2004)

Alaska
(4/1/2004)

Arizona
(4/1/2004)

Arkansas
(4/1/2004)

California
(4/1/2004)

Colorado
(4/1/2004)

Connecticut
(4/1/2004)

Delaware
(4/1/2004)

District of Columbia
(4/1/2004)

Florida
(4/2/2004)

Georgia
(4/1/2004)

Hawaii
(4/1/2004)

Idaho
(4/1/2004)

Illinois
(4/1/2004)

Indiana
(4/1/2004)

Iowa
(4/1/2004)

Kansas
(4/1/2004)

Kentucky
(4/1/2004)

Louisiana
(4/1/2004)

Maine
(4/1/2004)

Maryland
(4/1/2004)

Massachusetts
(4/1/2004)

Michigan
(4/1/2004)

Minnesota
(4/1/2004)

Mississippi
(4/1/2004)

Missouri
(4/1/2004)

Montana
(4/1/2004)

Nebraska
(4/1/2004)

Nevada
(4/1/2004)

New Hampshire
(4/1/2004)

New Jersey
(4/1/2004)

New Mexico
(4/1/2004)

New York
(4/1/2004)

North Carolina
(4/1/2004)

North Dakota
(4/1/2004)

Ohio
(4/1/2004)

Oklahoma
(4/1/2004)

Oregon
(4/1/2004)

Pennsylvania
(4/1/2004)

Rhode Island
(4/1/2004)

South Carolina
(4/1/2004)

South Dakota
(4/1/2004)

Tennessee
(4/1/2004)

Texas
(4/1/2004)

Utah
(4/1/2004)

Vermont
(4/1/2004)

Virginia
(4/1/2004)

Washington
(4/1/2004)

West Virginia
(4/1/2004)

Wisconsin
(4/1/2004)

Wyoming
(4/1/2004)

Exams

State Security Law Exam

Series 63

Date: 5/18/2001

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: 4/20/2001

General Securities 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Kimberly B. Tilley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kimberly Britain Tilley's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAZARD ASSET MANAGEMENT SECURITIES LLC

LAZARD FRERES & CO. LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/18/2001

SIE

Date: 10/1/2018

Series 7

Date: 4/20/2001

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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