JN
James A. Nelson
LAZARD ASSET MANAGEMENT SECURITIES LLC
New York, NY 10112
Some features on this profile are disabled
CRD#: 5583277
JN
Professional summary
James Alden Nelson, who also goes by James Nelson, 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 2008. James has worked at 2 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Nelson
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 James Alden Nelson'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
September 28, 2020 - Present
LAZARD ASSET MANAGEMENT SECURITIES LLC
Office #1: 30 Rockefeller Plaza 56th Floor, New York, NY, 10112Office #2: Four Embarcadero Center 24th Floor, San Francisco, CA 94111BD
CRD#: 129119
New York, NY
Past
October 3, 2008 - September 21, 2020
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
SAN FRANCISCO, CA
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(9/28/2020)
RR
Alaska(9/28/2020)
RR
Arizona(9/28/2020)
RR
Arkansas(9/28/2020)
RR
California(9/28/2020)
RR
Colorado(9/28/2020)
RR
Connecticut(9/28/2020)
RR
Delaware(9/28/2020)
RR
District of Columbia(9/28/2020)
RR
Florida(9/28/2020)
RR
Georgia(9/28/2020)
RR
Hawaii(9/28/2020)
RR
Idaho(9/28/2020)
RR
Illinois(9/28/2020)
RR
Indiana(9/28/2020)
RR
Iowa(9/28/2020)
RR
Kansas(9/28/2020)
RR
Kentucky(9/28/2020)
RR
Louisiana(9/28/2020)
RR
Maine(9/28/2020)
RR
Maryland(9/28/2020)
RR
Massachusetts(9/28/2020)
RR
Michigan(9/28/2020)
RR
Minnesota(9/28/2020)
RR
Mississippi(9/28/2020)
RR
Missouri(9/28/2020)
RR
Montana(9/28/2020)
RR
Nebraska(9/28/2020)
RR
Nevada(9/28/2020)
RR
New Hampshire(9/28/2020)
RR
New Jersey(9/28/2020)
RR
New Mexico(9/28/2020)
RR
New York(9/28/2020)
RR
North Carolina(9/28/2020)
RR
North Dakota(9/28/2020)
RR
Ohio(10/2/2020)
RR
Oklahoma(9/28/2020)
RR
Oregon(9/28/2020)
RR
Pennsylvania(9/28/2020)
RR
Puerto Rico(9/28/2020)
RR
Rhode Island(9/28/2020)
RR
South Carolina(9/28/2020)
RR
South Dakota(9/28/2020)
RR
Tennessee(9/28/2020)
RR
Texas(9/28/2020)
RR
Utah(9/28/2020)
RR
Vermont(9/28/2020)
RR
Virginia(9/28/2020)
RR
Washington(9/28/2020)
RR
West Virginia(9/28/2020)
RR
Wisconsin(9/28/2020)
RR
Wyoming(9/28/2020)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
