Kevin Leonard

LAZARD ASSET MANAGEMENT SECURITIES LLC

New York, NY 10112

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CRD#: 5076431

Professional summary

Kevin Leonard, CIMA®, who also goes by Kevin J Leonard, Kevin John Leonard, is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2006. Kevin has worked at 5 firms and has passed the Series 66, Series 31, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin J Leonard | Kevin John Leonard

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 Kevin Leonard'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 24, 2025 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

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

CRD#: 129119

New York, NY

Past

November 17, 2022 - June 9, 2025

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

April 28, 2021 - September 9, 2022

SANCTUARY SECURITIES, INC.

CRD#: 205

MIAMI, FL

Past

April 27, 2021 - September 9, 2022

SANCTUARY ADVISORS, LLC

RIA

CRD#: 226606

San Antonio, TX

Past

November 10, 2010 - March 13, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLOTTE, NC

Past

November 10, 2010 - March 13, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLOTTE, NC

Past

May 25, 2006 - November 19, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

March 10, 2006 - November 19, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

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
(6/24/2025)

Alaska
(6/24/2025)

Arizona
(6/24/2025)

Arkansas
(6/24/2025)

California
(6/24/2025)

Colorado
(6/24/2025)

Connecticut
(6/24/2025)

Delaware
(6/24/2025)

District of Columbia
(6/24/2025)

Florida
(6/24/2025)

Georgia
(6/24/2025)

Hawaii
(6/24/2025)

Idaho
(6/24/2025)

Illinois
(6/24/2025)

Indiana
(6/24/2025)

Iowa
(6/24/2025)

Kansas
(6/24/2025)

Kentucky
(6/24/2025)

Louisiana
(6/24/2025)

Maine
(6/24/2025)

Maryland
(6/24/2025)

Massachusetts
(6/24/2025)

Michigan
(6/24/2025)

Minnesota
(6/24/2025)

Mississippi
(6/24/2025)

Missouri
(6/24/2025)

Montana
(7/15/2025)

Nebraska
(6/24/2025)

Nevada
(6/24/2025)

New Hampshire
(6/24/2025)

New Jersey
(6/24/2025)

New Mexico
(6/24/2025)

New York
(6/24/2025)

North Carolina
(6/24/2025)

North Dakota
(6/24/2025)

Ohio
(6/24/2025)

Oklahoma
(6/24/2025)

Oregon
(6/24/2025)

Pennsylvania
(6/24/2025)

Puerto Rico
(6/24/2025)

Rhode Island
(6/24/2025)

South Carolina
(6/24/2025)

South Dakota
(6/24/2025)

Tennessee
(6/24/2025)

Texas
(6/24/2025)

Utah
(6/24/2025)

Vermont
(6/24/2025)

Virginia
(6/24/2025)

Washington
(6/24/2025)

West Virginia
(6/24/2025)

Wisconsin
(6/24/2025)

Wyoming
(6/24/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/24/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 9/15/2025

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/2006

General Securities 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

Kevin Leonard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin Leonard's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

SANCTUARY SECURITIES, INC.

SANCTUARY ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 5/24/2006

Series 31

Date: 9/15/2025

SIE

Date: 10/1/2018

Series 7

Date: 3/9/2006

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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