NS
Nicholas Smith
LAZARD ASSET MANAGEMENT LLC
New York, NY 10112
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CRD#: 7416132
NS
Professional summary
Nicholas Smith is a registered financial advisor currently at LAZARD ASSET MANAGEMENT LLC located in New York, New York and LAZARD ASSET MANAGEMENT SECURITIES LLC located in New York, New York.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Nicholas has worked at 3 firms and has passed the Series 66, Series 31, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Smith'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®
NoneExperience
Current
June 17, 2024 - Present
LAZARD ASSET MANAGEMENT LLC
Office #1: 30 Rockefeller Plaza, New York, NY 10112RIA
CRD#: 122836
New York, NY
Current
June 17, 2024 - Present
LAZARD ASSET MANAGEMENT SECURITIES LLC
Office #1: 30 Rockefeller Plaza 56th Floor, New York, NY, 10112BD
CRD#: 129119
New York, NY
Past
January 31, 2023 - June 3, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
December 3, 2021 - June 3, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LA
LAZARD ASSET MANAGEMENT LLC
LAZARD ASSET MANAGEMENT LLC
CRD#: 122836 / SEC#: 801-61701
RIA
Registered Investment Advisory firm - (12/31/2002 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(6/17/2024)
RR
Alaska(6/17/2024)
RR
Arizona(6/17/2024)
RR
Arkansas(6/17/2024)
RR
California(6/17/2024)
RR
Colorado(6/17/2024)
RR
Connecticut(6/17/2024)
RR
Delaware(6/17/2024)
RR
District of Columbia(6/17/2024)
RR
Florida(6/17/2024)
RR
Georgia(6/17/2024)
RR
Hawaii(6/17/2024)
RR
Idaho(6/17/2024)
RR
Illinois(6/17/2024)
RR
Indiana(6/17/2024)
RR
Iowa(6/17/2024)
RR
Kansas(6/17/2024)
RR
Kentucky(6/17/2024)
RR
Louisiana(6/17/2024)
RR
Maine(6/17/2024)
RR
Maryland(6/17/2024)
RR
Massachusetts(6/17/2024)
RR
Michigan(6/17/2024)
RR
Minnesota(6/17/2024)
RR
Mississippi(6/17/2024)
RR
Missouri(6/17/2024)
RR
Montana(6/17/2024)
RR
Nebraska(6/17/2024)
RR
Nevada(6/17/2024)
RR
New Hampshire(6/17/2024)
RR
New Jersey(6/17/2024)
RR
New Mexico(6/17/2024)
RR
New York(6/17/2024)
RR
North Carolina(6/17/2024)
RR
North Dakota(6/17/2024)
RR
Ohio(6/17/2024)
RR
Oklahoma(6/17/2024)
RR
Oregon(6/17/2024)
RR
Pennsylvania(6/17/2024)
RR
Puerto Rico(6/17/2024)
RR
Rhode Island(6/17/2024)
RR
South Carolina(6/17/2024)
RR
South Dakota(6/17/2024)
RR
Tennessee(6/17/2024)
RR
Texas(6/17/2024)
IAR
Texas(6/17/2024)
RR
Utah(6/17/2024)
RR
Vermont(6/17/2024)
RR
Virginia(6/17/2024)
RR
Washington(6/17/2024)
RR
West Virginia(6/17/2024)
RR
Wisconsin(6/17/2024)
RR
Wyoming(6/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/3/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LA
LAZARD ASSET MANAGEMENT LLC
LAZARD ASSET MANAGEMENT LLC
CRD#: 122836 / SEC#: 801-61701
RIA
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Contact information
Main Address
30 Rockefeller Plaza, New York, NY 10112
Mailing Address
Phone number
(212) 632-6000
Established
Firm type
Fiscal year end
# of Employees
507
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,668 |
| AUM (Assets Under Management) | $ 128,878,312,897 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 11/26/2024 | ||
| 09/26/2023 | ||
| 11/22/2022 |
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.
