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Thomas E. Tuft

Some features on this profile are disabled
CRD#: 450227
TT

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Edwin Tuft was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1973. Thomas had worked at 3 firms and has passed the Series 63, SIE, Series 3, PC, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 17, 2009 - July 30, 2018

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

February 26, 1976 - November 24, 2009

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

November 6, 1973 - April 15, 1976

G A SAXTON & CO INC

BD
CRD#: 1000001

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/26/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/30/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/22/1982
National Commodity Futures Examination
General Industry/Product Exam
RR
PC
Date: 7/27/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 11/1/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/21/1989
General Securities Principal Examination

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#: 2528

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