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SB

Stephanie Butler

LAZARD ASSET MANAGEMENT SECURITIES LLC
New York, NY 10112
Some features on this profile are disabled
CRD#: 4862459
SB

Professional summary

Stephanie Butler, who also goes by Stephanie M Butler, Stephanie Prince, is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

Stephanie is registered as a RR (Registered Representative) and started their career in finance in 2004. Stephanie has worked at 11 firms and has passed the Series 66, Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephanie M Butler | Stephanie Prince

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 Stephanie Butler'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

January 4, 2023 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

Office #1: 30 Rockefeller Plaza 56th Floor, New York, NY, 10112
BD
CRD#: 129119
New York, NY
Past

November 29, 2021 - January 3, 2023

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

June 6, 2018 - October 8, 2021

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
NEW YORK, NY
Past

October 13, 2015 - May 24, 2018

BAMCO, INC.

RIA
CRD#: 110789
NEW YORK, NY
Past

August 17, 2015 - May 24, 2018

BARON CAPITAL, INC.

BD
CRD#: 10538
NEW YORK, NY
Past

October 17, 2013 - July 31, 2015

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
NEW YORK, NY
Past

October 16, 2013 - July 31, 2015

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

May 27, 2011 - October 18, 2013

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

May 26, 2011 - October 18, 2013

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 2, 2010 - May 20, 2011

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
CHARLOTTE, NC
Past

March 2, 2010 - May 20, 2011

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
CHARLOTTE, NC
Past

May 7, 2008 - March 2, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
CHARLOTTE, NC
Past

May 2, 2007 - March 2, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

September 16, 2005 - May 8, 2007

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHARLOTTE, NC
Past

October 20, 2004 - August 8, 2005

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

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
Illinois
(1/4/2023)
RR
New York
(1/4/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/6/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/2004
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/19/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/9/2013
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/24/2010
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/14/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LA
LAZARD ASSET MANAGEMENT SECURITIES LLC
LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119 / SEC#: , 8-66201

BD
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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LAZARD ASSET MANAGEMENT LLCSOLE MEMBER AND MANAGING MEMBER122836
ANDERSON, MARK RICHARDCHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER4769151
MASSARONI, ROBERT MALCOLMPRINCIPAL FINANCIAL AND OPERATIONS OFFICER2366443
PAUL, NATHAN ABRAHAMCHIEF EXECUTIVE OFFICER4314144

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 ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119New York, NY 10112

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