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JG

James P. Gibbons

LAZARD ASSET MANAGEMENT SECURITIES
NEW YORK, NY 10112
Some features on this profile are disabled
CRD#: 5253136
JG
James Paul GibbonsLAZARD ASSET MANAGEMENT SECURITIES

Professional summary

James Paul Gibbons is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 7 firms and has passed the Series 65, Series 63, Series 31, SIE and Series 7 exams.

Aliases

None

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 James Paul Gibbons'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

April 21, 2026 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

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

May 5, 2021 - April 3, 2026

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
DENVER, CO
Past

January 4, 2021 - March 2, 2021

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

February 11, 2020 - December 31, 2020

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

September 21, 2011 - November 19, 2019

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
DENVER, CO
Past

January 3, 2011 - September 16, 2011

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

March 18, 2009 - November 10, 2009

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA
CRD#: 107038
NEW YORK, NY
Past

January 24, 2007 - January 3, 2011

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
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
(4/21/2026)
RR
Alaska
(4/21/2026)
RR
Arizona
(4/21/2026)
RR
Arkansas
(4/21/2026)
RR
California
(4/21/2026)
RR
Colorado
(4/21/2026)
RR
Connecticut
(4/21/2026)
RR
Delaware
(4/21/2026)
RR
District of Columbia
(4/21/2026)
RR
Florida
(4/21/2026)
RR
Georgia
(4/21/2026)
RR
Hawaii
(4/21/2026)
RR
Idaho
(4/21/2026)
RR
Illinois
(4/21/2026)
RR
Indiana
(4/21/2026)
RR
Iowa
(4/21/2026)
RR
Kansas
(4/21/2026)
RR
Kentucky
(4/21/2026)
RR
Louisiana
(4/21/2026)
RR
Maine
(4/21/2026)
RR
Maryland
(4/21/2026)
RR
Massachusetts
(4/21/2026)
RR
Michigan
(4/21/2026)
RR
Minnesota
(4/21/2026)
RR
Mississippi
(4/21/2026)
RR
Missouri
(4/21/2026)
RR
Montana
(4/21/2026)
RR
Nebraska
(4/21/2026)
RR
Nevada
(4/21/2026)
RR
New Hampshire
(4/21/2026)
RR
New Jersey
(4/21/2026)
RR
New Mexico
(4/21/2026)
RR
New York
(4/21/2026)
RR
North Carolina
(4/21/2026)
RR
North Dakota
(4/21/2026)
RR
Ohio
(4/21/2026)
RR
Oklahoma
(4/21/2026)
RR
Oregon
(4/21/2026)
RR
Pennsylvania
(4/21/2026)
RR
Puerto Rico
(4/21/2026)
RR
Rhode Island
(4/21/2026)
RR
South Carolina
(4/21/2026)
RR
South Dakota
(4/21/2026)
RR
Tennessee
(4/21/2026)
RR
Texas
(4/21/2026)
RR
Utah
(4/21/2026)
RR
Vermont
(4/21/2026)
RR
Virginia
(4/21/2026)
RR
Washington
(4/21/2026)
RR
West Virginia
(4/21/2026)
RR
Wisconsin
(4/21/2026)
RR
Wyoming
(4/21/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/27/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/24/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 7/8/2026
Futures Managed Funds Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/23/2007
General Securities Representative 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)

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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