Simon M. Auerbach
Professional summary
Simon Mark Auerbach, who also goes by Simon Auerbach, is a registered financial professional currently at LAZARD FRERES & CO. LLC located in New York, New York.
Simon is registered as a RR (Registered Representative) and started their career in finance in 2001. Simon has worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Simon Mark Auerbach's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 4, 2021 - Present
LAZARD FRERES & CO. LLC
Office #1: 30 Rockefeller Plaza, New York, NY 10020-5900August 7, 2017 - September 1, 2021
CREDIT SUISSE SECURITIES (USA) LLC
August 14, 2009 - July 24, 2017
FOROS SECURITIES LLC
August 31, 2001 - December 31, 2008
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/4/2021)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
LAZARD FRERES & CO. LLC
CRD#: 2528 / SEC#: , 8-2595
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 2 |
Red Flags
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