BS
Benjamin H. Stein
LAZARD FRERES & CO. LLC
Boston, MA 02116
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CRD#: 5552455
BS
Professional summary
Benjamin Haywood Stein, who also goes by Ben H Stein, Benjamin H Stein, is a registered financial professional currently at LAZARD FRERES & CO. LLC located in Boston, Massachusetts.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2011. Benjamin has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ben H Stein | Benjamin H Stein
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 Benjamin Haywood Stein'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
December 7, 2016 - Present
LAZARD FRERES & CO. LLC
Office #1: 222 Berkeley Street Suite 1100-a, Boston, MA 02116BD
CRD#: 2528
Boston, MA
Past
March 22, 2013 - December 2, 2016
BREVAN HOWARD US LLC
BD
CRD#: 150662
NEW YORK, NY
Past
December 7, 2011 - March 19, 2013
VAN ECK SECURITIES CORPORATION
BD
CRD#: 2269
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(4/9/2018)
RR
Alaska(4/9/2018)
RR
Arizona(4/9/2018)
RR
Arkansas(4/9/2018)
RR
California(4/9/2018)
RR
Colorado(4/9/2018)
RR
Connecticut(4/9/2018)
RR
Delaware(4/9/2018)
RR
District of Columbia(4/9/2018)
RR
Florida(4/9/2018)
RR
Georgia(4/9/2018)
RR
Hawaii(4/9/2018)
RR
Idaho(4/9/2018)
RR
Illinois(4/9/2018)
RR
Indiana(4/9/2018)
RR
Iowa(4/9/2018)
RR
Kansas(4/9/2018)
RR
Kentucky(4/9/2018)
RR
Louisiana(4/9/2018)
RR
Maine(4/9/2018)
RR
Maryland(4/9/2018)
RR
Massachusetts(4/9/2018)
RR
Michigan(4/9/2018)
RR
Minnesota(4/9/2018)
RR
Mississippi(4/9/2018)
RR
Missouri(4/9/2018)
RR
Montana(4/9/2018)
RR
Nebraska(4/9/2018)
RR
Nevada(4/9/2018)
RR
New Hampshire(4/9/2018)
RR
New Jersey(4/9/2018)
RR
New Mexico(4/9/2018)
RR
New York(12/7/2016)
RR
North Carolina(4/10/2018)
RR
North Dakota(4/9/2018)
RR
Ohio(4/9/2018)
RR
Oklahoma(4/9/2018)
RR
Oregon(4/9/2018)
RR
Pennsylvania(4/9/2018)
RR
Puerto Rico(1/13/2020)
RR
Rhode Island(4/9/2018)
RR
South Carolina(4/9/2018)
RR
South Dakota(4/9/2018)
RR
Tennessee(4/9/2018)
RR
Texas(4/9/2018)
RR
Utah(4/9/2018)
RR
Vermont(4/9/2018)
RR
Virginia(4/9/2018)
RR
Washington(4/9/2018)
RR
West Virginia(4/9/2018)
RR
Wisconsin(4/9/2018)
RR
Wyoming(4/9/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LF
LAZARD FRERES & CO. LLC
LAZARD ASSET MANAGEMENT | LAZARD FRERES & CO. LLC | LAZARD FRERES & CO.
CRD#: 2528 / SEC#: , 8-2595
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
30 Rockefeller Plaza, New York, NY 10020-5900
Mailing Address
30 Rockefeller Plaza, New York, NY 10020-5900
Phone number
(212) 632-6000
Established
New York since 05/01/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LAZARD FRERES & CO. LLC
CRD#: 2528Boston, MA 02116TRUST BUT VERIFY
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