Heather Buch
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Heather Buch, who also goes by Heather Lee Buch, was a registered financial professional .
Heather is a previously registered financial professional and started their career in finance in 2011. Heather had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2014 - May 9, 2017
LAZARD ASSET MANAGEMENT SECURITIES LLC
July 18, 2013 - March 21, 2014
MORGAN STANLEY DISTRIBUTION, INC.
July 15, 2013 - July 18, 2013
MORGAN STANLEY & CO. LLC
August 12, 2011 - July 19, 2013
MORGAN STANLEY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LAZARD ASSET MANAGEMENT SECURITIES LLC
CRD#: 129119 / SEC#: , 8-66201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
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.
