Caroline A. Wang

LAZARD FRERES & CO. LLC

NEW YORK, NY 10020-5900

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CRD#: 6079902

Professional summary

Caroline Ann Su Wang is a registered financial professional currently at LAZARD FRERES & CO. LLC located in New York, New York.

Caroline is registered as a RR (Registered Representative) and started their career in finance in 2013. Caroline has worked at 3 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 3, Series 52, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Caroline Ann Su Wang'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®

None

Experience

Current

June 4, 2020 - Present

LAZARD FRERES & CO. LLC

Office #1: 30 Rockefeller Plaza, New York, NY 10020-5900

CRD#: 2528

NEW YORK, NY

Past

June 3, 2016 - July 13, 2018

ALPS DISTRIBUTORS, INC.

CRD#: 16853

GREENWICH, CT

Past

August 5, 2013 - April 22, 2016

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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
(7/25/2022)

Arizona
(7/11/2022)

Arkansas
(7/25/2022)

California
(7/11/2022)

Colorado
(10/6/2022)

Connecticut
(7/25/2022)

Florida
(7/11/2022)

Georgia
(10/6/2022)

Hawaii
(7/11/2022)

Illinois
(7/11/2022)

Indiana
(10/6/2022)

Iowa
(7/11/2022)

Kentucky
(10/6/2022)

Louisiana
(7/25/2022)

Maryland
(7/11/2022)

Massachusetts
(7/11/2022)

Michigan
(7/11/2022)

Minnesota
(7/11/2022)

Missouri
(7/11/2022)

New Jersey
(7/25/2022)

New York
(6/4/2020)

North Carolina
(7/11/2022)

Ohio
(7/12/2022)

Oklahoma
(7/11/2022)

Pennsylvania
(10/6/2022)

South Carolina
(7/11/2022)

South Dakota
(10/6/2022)

Tennessee
(7/11/2022)

Texas
(7/11/2022)

Virginia
(7/11/2022)

Washington
(7/11/2022)

Wisconsin
(7/11/2022)

Wyoming
(7/11/2022)

Exams

State Security Law Exam

Series 63

Date: 8/8/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 8/7/2020

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 7/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/31/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 52

Date: 8/29/2015

Municipal Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 11/23/2013

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/5/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LAZARD FRERES & CO. LLC

LAZARD ASSET MANAGEMENT | LAZARD FRERES & CO. LLC | LAZARD FRERES & CO.

CRD#: 2528 / SEC#: , 8-2595

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

Direct owners and executive officers

Name	Position	CRD#
LAZARD GROUP LLC	SOLE MEMBER
ANDERSON, MARK RICHARD	CCO	4769151
BERNHARD, JASON RUGGLES	CEO	1883841
WEBER, THOMAS JOSEPH	CFO	4854554

Disclosures

Regulatory Event	14
Civil Event	2

Red Flags

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Advisor Monitoring

Firm Stability Insights

Caroline A. Wang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Caroline Ann Su Wang's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/2013

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 8/7/2020

SIE

Date: 7/13/2018

Series 3

Date: 8/31/2016

Series 52

Date: 8/29/2015

Series 55

Date: 11/23/2013

Series 7

Date: 8/5/2013

FINRA

Current Firm

LAZARD FRERES & CO. LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LAZARD FRERES & CO. LLC

TRUST BUT VERIFY

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