SS
Stephen S. Salyer
LAZARD FRERES & CO. LLC
NEW YORK, NY 10020-5900
Some features on this profile are disabled
CRD#: 4730986
SS
Professional summary
Stephen Swayze Salyer is a registered financial professional currently at LAZARD FRERES & CO. LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2005. Stephen has worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 79, Series 22 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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Swayze Salyer'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®
NoneExperience
Current
November 9, 2012 - Present
LAZARD FRERES & CO. LLC
Office #1: 30 Rockefeller Plaza, New York, NY 10020-5900BD
CRD#: 2528
NEW YORK, NY
Past
October 17, 2008 - November 2, 2012
ATLANTIC - PACIFIC CAPITAL, INC.
BD
CRD#: 38356
NEW YORK, NY
Past
February 24, 2005 - February 9, 2006
POTOMAC CAPITAL MARKETS, LLC
BD
CRD#: 39800
MIDDLETOWN, MD
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(9/24/2013)
RR
Alaska(9/24/2013)
RR
Arizona(9/4/2013)
RR
Arkansas(9/24/2013)
RR
California(9/24/2013)
RR
Colorado(8/20/2013)
RR
Connecticut(8/20/2013)
RR
Delaware(9/24/2013)
RR
District of Columbia(8/20/2013)
RR
Florida(8/20/2013)
RR
Georgia(9/24/2013)
RR
Hawaii(9/24/2013)
RR
Idaho(8/20/2013)
RR
Illinois(8/22/2013)
RR
Indiana(9/24/2013)
RR
Iowa(9/24/2013)
RR
Kansas(9/24/2013)
RR
Kentucky(9/24/2013)
RR
Louisiana(8/20/2013)
RR
Maine(8/21/2013)
RR
Maryland(8/20/2013)
RR
Massachusetts(9/24/2013)
RR
Michigan(9/24/2013)
RR
Minnesota(9/24/2013)
RR
Mississippi(9/24/2013)
RR
Missouri(8/20/2013)
RR
Montana(9/24/2013)
RR
Nebraska(9/24/2013)
RR
Nevada(9/24/2013)
RR
New Hampshire(9/24/2013)
RR
New Jersey(8/20/2013)
RR
New Mexico(9/24/2013)
RR
New York(9/24/2013)
RR
North Carolina(9/24/2013)
RR
North Dakota(9/24/2013)
RR
Ohio(8/20/2013)
RR
Oklahoma(9/24/2013)
RR
Oregon(9/24/2013)
RR
Pennsylvania(9/24/2013)
RR
Puerto Rico(1/13/2020)
RR
Rhode Island(9/24/2013)
RR
South Carolina(9/24/2013)
RR
South Dakota(9/24/2013)
RR
Tennessee(9/24/2013)
RR
Texas(9/24/2013)
RR
Utah(9/24/2013)
RR
Vermont(8/20/2013)
RR
Virginia(9/24/2013)
RR
Washington(9/24/2013)
RR
West Virginia(9/24/2013)
RR
Wisconsin(9/24/2013)
RR
Wyoming(9/24/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 2 |
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.
