Michael G. Dietrich

LAZARD ASSET MANAGEMENT SECURITIES LLC

New York, NY 10112

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CRD#: 6125534

Professional summary

Michael Gerard Dietrich is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 7 firms and has passed the Series 66, Series 31, SIE 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.

Landlord / Investment Related / 458 E. 8th Street - #3, Boston, MA 02127 / Real Estate / Landlord / Owner of Property / Start Date - 10/2021 / Less than 1 hour per month devoted to the business / 0 hours per month devoted to the business during securities trading hours / Owner and Landlord overseeing rental property

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Gerard Dietrich'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

January 30, 2024 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

Office #1: 30 Rockefeller Plaza 56th Floor, New York, NY, 10112

CRD#: 129119

New York, NY

Past

October 20, 2021 - January 9, 2024

PACER ADVISORS, INC.

RIA

CRD#: 137381

San Francisco, CA

Past

October 19, 2021 - January 9, 2024

PACER FINANCIAL, INC.

CRD#: 137040

MALVERN, PA

Past

July 18, 2016 - October 14, 2021

EATON VANCE MANAGEMENT

RIA

CRD#: 104859

BOSTON, MA

Past

July 7, 2016 - October 14, 2021

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

July 3, 2013 - July 7, 2016

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BOSTON, MA

Past

July 3, 2013 - July 7, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BOSTON, MA

Past

February 1, 2013 - July 23, 2013

MORGAN STANLEY

RIA

CRD#: 149777

BOSTON, MA

Past

November 29, 2012 - July 23, 2013

MORGAN STANLEY

CRD#: 149777

BOSTON, MA

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
(1/30/2024)

Alaska
(1/30/2024)

Arizona
(1/30/2024)

Arkansas
(1/30/2024)

California
(1/30/2024)

Colorado
(1/30/2024)

Connecticut
(1/30/2024)

Delaware
(1/30/2024)

District of Columbia
(1/30/2024)

Florida
(1/30/2024)

Georgia
(1/30/2024)

Hawaii
(1/30/2024)

Idaho
(1/30/2024)

Illinois
(1/30/2024)

Indiana
(1/30/2024)

Iowa
(1/30/2024)

Kansas
(1/30/2024)

Kentucky
(1/30/2024)

Louisiana
(1/30/2024)

Maine
(1/30/2024)

Maryland
(1/30/2024)

Massachusetts
(1/30/2024)

Michigan
(1/30/2024)

Minnesota
(1/30/2024)

Mississippi
(1/30/2024)

Missouri
(1/30/2024)

Montana
(1/30/2024)

Nebraska
(1/30/2024)

Nevada
(1/30/2024)

New Hampshire
(1/30/2024)

New Jersey
(1/30/2024)

New Mexico
(1/30/2024)

New York
(1/30/2024)

North Carolina
(1/30/2024)

North Dakota
(1/30/2024)

Ohio
(2/5/2024)

Oklahoma
(1/30/2024)

Oregon
(1/30/2024)

Pennsylvania
(1/30/2024)

Puerto Rico
(1/30/2024)

Rhode Island
(1/30/2024)

South Carolina
(1/30/2024)

South Dakota
(1/30/2024)

Tennessee
(1/30/2024)

Texas
(1/30/2024)

Utah
(1/30/2024)

Vermont
(1/30/2024)

Virginia
(1/30/2024)

Washington
(1/30/2024)

West Virginia
(1/30/2024)

Wisconsin
(1/30/2024)

Wyoming
(1/30/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 1/31/2013

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 4/30/2024

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/28/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119 / SEC#: , 8-66201

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

Name	Position	CRD#
LAZARD ASSET MANAGEMENT LLC	SOLE MEMBER AND MANAGING MEMBER	122836
ANDERSON, MARK RICHARD	CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER	4769151
MASSARONI, ROBERT MALCOLM	PRINCIPAL FINANCIAL AND OPERATIONS OFFICER	2366443
PAUL, NATHAN ABRAHAM	CHIEF EXECUTIVE OFFICER	4314144

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.

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Advisor Monitoring

Firm Stability Insights

Michael G. Dietrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Gerard Dietrich's CRS (Customer Relationship Summary).

Certified licenses

Experience

PACER ADVISORS, INC.

PACER FINANCIAL, INC.

EATON VANCE MANAGEMENT

EATON VANCE DISTRIBUTORS, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

State Registrations and Notice Filings

Exams

Series 66

Date: 1/31/2013

Series 31

Date: 4/30/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/28/2012

FINRA

Current Firm

LAZARD ASSET MANAGEMENT SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LAZARD ASSET MANAGEMENT SECURITIES LLC

TRUST BUT VERIFY

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