Daniel L. Noschese

LAZARD ASSET MANAGEMENT SECURITIES LLC

New York, NY 10112

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CRD#: 4956169

Professional summary

Daniel L Noschese, who also goes by Daniel L. Noschese, Daniel Louis Noschese, is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2005. Daniel has worked at 9 firms and has passed the Series 63, Series 31, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel L. Noschese | Daniel Louis Noschese

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 Daniel L Noschese'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

March 11, 2022 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

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

CRD#: 129119

New York, NY

Past

June 15, 2020 - December 31, 2020

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

October 5, 2016 - January 15, 2020

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

September 30, 2011 - September 28, 2016

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

February 4, 2011 - September 14, 2011

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

NORTH ANDOVER, MA

Past

December 16, 2010 - February 7, 2011

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

NORTH ANDOVER, MA

Past

April 17, 2008 - November 10, 2010

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

NEEDHAM, MA

Past

February 29, 2008 - April 1, 2008

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

SIMSBURY, CT

Past

June 16, 2005 - February 29, 2008

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

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
(3/11/2022)

Alaska
(3/11/2022)

Arizona
(3/11/2022)

Arkansas
(3/11/2022)

California
(3/11/2022)

Colorado
(3/11/2022)

Connecticut
(3/11/2022)

Delaware
(3/11/2022)

District of Columbia
(3/11/2022)

Florida
(3/11/2022)

Georgia
(3/11/2022)

Hawaii
(3/11/2022)

Idaho
(3/11/2022)

Illinois
(3/11/2022)

Indiana
(3/11/2022)

Iowa
(3/11/2022)

Kansas
(3/11/2022)

Kentucky
(3/11/2022)

Louisiana
(3/11/2022)

Maine
(3/11/2022)

Maryland
(3/11/2022)

Massachusetts
(3/11/2022)

Michigan
(3/11/2022)

Minnesota
(3/11/2022)

Mississippi
(3/11/2022)

Missouri
(3/11/2022)

Montana
(3/11/2022)

Nebraska
(3/11/2022)

Nevada
(3/11/2022)

New Hampshire
(3/11/2022)

New Jersey
(3/11/2022)

New Mexico
(3/11/2022)

New York
(3/11/2022)

North Carolina
(3/11/2022)

North Dakota
(3/11/2022)

Ohio
(3/16/2022)

Oklahoma
(3/11/2022)

Oregon
(3/11/2022)

Pennsylvania
(3/11/2022)

Puerto Rico
(3/11/2022)

Rhode Island
(3/11/2022)

South Carolina
(3/11/2022)

South Dakota
(3/11/2022)

Tennessee
(3/11/2022)

Texas
(3/11/2022)

Utah
(3/11/2022)

Vermont
(3/11/2022)

Virginia
(3/11/2022)

Washington
(3/11/2022)

West Virginia
(3/11/2022)

Wisconsin
(3/11/2022)

Wyoming
(3/11/2022)

Exams

State Security Law Exam

Series 63

Date: 7/6/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 10/31/2022

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/9/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/15/2005

Investment Company Products/Variable Contracts 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

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.

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Advisor Monitoring

Firm Stability Insights

Daniel L. Noschese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel L Noschese's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML DISTRIBUTORS, LLC

NUVEEN SECURITIES, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

PURSHE KAPLAN STERLING INVESTMENTS

COMMONWEALTH FINANCIAL NETWORK

TRANSAMERICA INVESTORS SECURITIES, LLC

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

MFS FUND DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/2005

Series 31

Date: 10/31/2022

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2013

Series 6

Date: 6/15/2005

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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