TO
Timothy D. Orazem
NEEDHAM & COMPANY
New York, NY 10177
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CRD#: 5002133
TO
Professional summary
Timothy Durkin Orazem, who also goes by Timothy Orazem, is a registered financial professional currently at NEEDHAM & COMPANY, LLC located in New York, New York.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2007. Timothy has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Timothy Orazem
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 Timothy Durkin Orazem'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 2, 2023 - Present
NEEDHAM & COMPANY, LLC
Office #1: 250 Park Avenue 10th Floor, New York, NY 10177RIA
BD
CRD#: 16360
New York, NY
Past
January 15, 2022 - May 12, 2023
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, NY
Past
November 9, 2007 - July 20, 2009
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
BOSTON, MA
Past
July 11, 2007 - October 5, 2007
NEEDHAM & COMPANY, LLC
BD
CRD#: 16360
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
N&
NEEDHAM & COMPANY, LLC
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
California(11/14/2023)
RR
Massachusetts(11/14/2023)
RR
New York(11/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/15/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
N&
NEEDHAM & COMPANY, LLC
NEEDHAM & COMPANY, INC. | NEEDHAM & COMPANY, LLC
CRD#: 16360 / SEC#: 801-62735, 8-33772
RIA
Registered Investment Advisory firm - SEC (2/12/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
250 Park Avenue 10th Floor, New York, NY 10177
Mailing Address
250 Park Avenue 10th Floor, New York, NY 10177
Phone number
(212) 371-8300
Established
Delaware since 04/04/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
185
SEC notice filing (14 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEEDHAM HOLDINGS, LLC | MEMBER | |
| IACOVONE, JACK JAMES | MANAGING DIRECTOR, CEO & HEAD OF INVESTMENT BANKING | 2877398 |
| PRIOR, JOHN JOSEPH JR | MANAGING DIRECTOR, CEO OF THE NEEDHAM GROUP, INC. | 1076802 |
| ABBRUZZESE, JAMES MICHAEL | MANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER & ACTING HEAD OF SALES | 2960715 |
| FIORDALISO, ROBERT JOSEPH | MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER | 2518397 |
| LAUFER, DAVID MICHAEL | MANAGING DIRECTOR, HEAD OF TRADING & SALES TRADING | 4336854 |
| MALIK, ANDREW JOSEPH | MANAGING DIRECTOR, CHAIRMAN | 317860 |
| MALLOY, JOHN PATRICK | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 5322002 |
| MALONEY, THOMAS ANTHONY | MANAGING DIRECTOR, CO-DIRECTOR OF RESEARCH | 2386331 |
| MERLINO, SALVATORE ANTHONY | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 4397078 |
Disclosures
| Regulatory Event | 27 |
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.
