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DR

David S. Ruch

LAZARD FRERES & CO. LLC
NEW YORK, NY 10020-5900
Some features on this profile are disabled
CRD#: 6958737
DR

Professional summary

David Simms Ruch Jr., who also goes by David Simms Ruch Jr, David Simms Ruch, is a registered financial professional currently at LAZARD FRERES & CO. LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 2018. David has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 86 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Simms Ruch Jr | David Simms Ruch

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 David Simms Ruch Jr.'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

August 13, 2024 - Present

LAZARD FRERES & CO. LLC

Office #1: 30 Rockefeller Plaza, New York, NY 10020-5900
BD
CRD#: 2528
NEW YORK, NY
Past

October 25, 2021 - August 12, 2024

MOELIS & COMPANY LLC

BD
CRD#: 145115
NEW YORK, NY
Past

July 3, 2018 - March 29, 2021

LEERINK PARTNERS LLC

BD
CRD#: 39011
BOSTON, MA

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
New York
(8/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/20/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/9/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 9/28/2018
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 9/25/2018
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 7/3/2018
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#: 2528New York, NY 10020-5900

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