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TN

Tao Niu

LAZARD FRERES & CO. LLC
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 6819245
TN

Professional summary

Tao Niu, who also goes by Tom Niu, is a registered financial professional currently at LAZARD FRERES & CO. LLC located in Chicago, Illinois.

Tao is registered as a RR (Registered Representative) and started their career in finance in 2017. Tao has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Niu

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 Tao Niu'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 13, 2024 - Present

LAZARD FRERES & CO. LLC

Office #1: 300 North Lasalle Street Suite 2300, Chicago, IL 60654
BD
CRD#: 2528
Chicago, IL
Past

July 6, 2017 - February 11, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/21/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/13/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/17/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/6/2017
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LAZARD GROUP LLCSOLE MEMBER
ANDERSON, MARK RICHARDCCO4769151
BERNHARD, JASON RUGGLESCEO1883841
WEBER, THOMAS JOSEPHCFO4854554

Disclosures

Regulatory Event14
Civil Event2

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.

Company Information

LAZARD FRERES & CO. LLC

CRD#: 2528Chicago, IL 60654

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