MT
Marcia H. Thomas
LAZARD ASSET MANAGEMENT SECURITIES LLC
New York, NY 10112
Some features on this profile are disabled
CRD#: 4996485
MT
Professional summary
Marcia H Thomas, who also goes by Marcia H Sorvillo, is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.
Marcia is registered as a RR (Registered Representative) and started their career in finance in 2006. Marcia has worked at 1 firm and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Marcia H Sorvillo
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 Marcia H Thomas'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
January 19, 2006 - Present
LAZARD ASSET MANAGEMENT SECURITIES LLC
Office #1: 30 Rockefeller Plaza 56th Floor, New York, NY, 10112BD
CRD#: 129119
New York, NY
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(3/28/2006)
RR
Alaska(3/28/2006)
RR
Arizona(3/28/2006)
RR
Arkansas(3/28/2006)
RR
California(3/28/2006)
RR
Colorado(1/19/2006)
RR
Connecticut(3/28/2006)
RR
Delaware(3/28/2006)
RR
District of Columbia(1/19/2006)
RR
Florida(1/19/2006)
RR
Georgia(3/28/2006)
RR
Hawaii(3/28/2006)
RR
Idaho(3/28/2006)
RR
Illinois(3/28/2006)
RR
Indiana(3/28/2006)
RR
Iowa(3/28/2006)
RR
Kansas(3/28/2006)
RR
Kentucky(3/28/2006)
RR
Louisiana(1/19/2006)
RR
Maine(1/19/2006)
RR
Maryland(1/19/2006)
RR
Massachusetts(3/28/2006)
RR
Michigan(3/28/2006)
RR
Minnesota(3/28/2006)
RR
Mississippi(3/28/2006)
RR
Missouri(3/28/2006)
RR
Montana(3/28/2006)
RR
Nebraska(3/28/2006)
RR
Nevada(3/28/2006)
RR
New Hampshire(3/28/2006)
RR
New Jersey(1/19/2006)
RR
New Mexico(3/28/2006)
RR
New York(3/28/2006)
RR
North Carolina(3/28/2006)
RR
North Dakota(3/28/2006)
RR
Ohio(1/19/2006)
RR
Oklahoma(3/28/2006)
RR
Oregon(3/28/2006)
RR
Pennsylvania(3/28/2006)
RR
Rhode Island(3/28/2006)
RR
South Carolina(3/28/2006)
RR
South Dakota(3/28/2006)
RR
Tennessee(3/28/2006)
RR
Texas(3/28/2006)
RR
Utah(3/28/2006)
RR
Vermont(1/19/2006)
RR
Virginia(3/28/2006)
RR
Washington(3/28/2006)
RR
West Virginia(3/28/2006)
RR
Wisconsin(3/28/2006)
RR
Wyoming(3/28/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Direct owners and executive officers
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.
