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NC

Nicholas J. Crociata

LAZARD ASSET MANAGEMENT SECURITIES
NEW YORK, NY 10112
CRD#: 7142846
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NC
Nicholas Joseph CrociataLAZARD ASSET MANAGEMENT SECURITIES

Professional summary

Nicholas Joseph Crociata, who also goes by Nicholas Crociata, Nick Crociata, is a registered financial professional currently at LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2021. Nicholas has worked at 3 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas Crociata | Nick Crociata

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 Nicholas Joseph Crociata'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

April 20, 2026 - Present

LAZARD ASSET MANAGEMENT SECURITIES LLC

Office #1: 30 Rockefeller Plaza 56th Floor, New York, NY, 10112
BD
CRD#: 129119
NEW YORK, NY
Past

November 2, 2022 - April 7, 2026

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
NEW YORK, NY
Past

August 30, 2021 - October 3, 2022

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
New York, NY

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
Alabama
(4/20/2026)
RR
Alaska
(4/20/2026)
RR
Arizona
(4/20/2026)
RR
Arkansas
(4/20/2026)
RR
California
(4/20/2026)
RR
Colorado
(4/20/2026)
RR
Connecticut
(4/20/2026)
RR
Delaware
(4/20/2026)
RR
District of Columbia
(4/20/2026)
RR
Florida
(4/20/2026)
RR
Georgia
(4/20/2026)
RR
Hawaii
(4/20/2026)
RR
Idaho
(4/20/2026)
RR
Illinois
(4/20/2026)
RR
Indiana
(4/20/2026)
RR
Iowa
(4/20/2026)
RR
Kansas
(4/20/2026)
RR
Kentucky
(4/20/2026)
RR
Louisiana
(4/20/2026)
RR
Maine
(4/20/2026)
RR
Maryland
(4/20/2026)
RR
Massachusetts
(4/20/2026)
RR
Michigan
(4/20/2026)
RR
Minnesota
(4/20/2026)
RR
Mississippi
(4/20/2026)
RR
Missouri
(4/20/2026)
RR
Montana
(4/20/2026)
RR
Nebraska
(4/20/2026)
RR
Nevada
(4/20/2026)
RR
New Hampshire
(4/20/2026)
RR
New Jersey
(4/20/2026)
RR
New Mexico
(4/20/2026)
RR
New York
(4/20/2026)
RR
North Carolina
(4/20/2026)
RR
North Dakota
(4/20/2026)
RR
Ohio
(4/20/2026)
RR
Oklahoma
(4/20/2026)
RR
Oregon
(4/20/2026)
RR
Pennsylvania
(4/20/2026)
RR
Puerto Rico
(4/20/2026)
RR
Rhode Island
(4/20/2026)
RR
South Carolina
(4/20/2026)
RR
South Dakota
(4/20/2026)
RR
Tennessee
(4/20/2026)
RR
Texas
(4/20/2026)
RR
Utah
(4/20/2026)
RR
Vermont
(4/20/2026)
RR
Virginia
(4/20/2026)
RR
Washington
(4/20/2026)
RR
West Virginia
(4/20/2026)
RR
Wisconsin
(4/20/2026)
RR
Wyoming
(4/20/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/10/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/28/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/7/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LA
LAZARD ASSET MANAGEMENT SECURITIES LLC
LAZARD ASSET MANAGEMENT SECURITIES LLC

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

BD
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

NamePositionCRD#
LAZARD ASSET MANAGEMENT LLCSOLE MEMBER AND MANAGING MEMBER122836
ANDERSON, MARK RICHARDCHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER4769151
MASSARONI, ROBERT MALCOLMPRINCIPAL FINANCIAL AND OPERATIONS OFFICER2366443
PAUL, NATHAN ABRAHAMCHIEF EXECUTIVE OFFICER4314144

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 ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119New York, NY 10112

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