Caroline Egger
Professional Summary
Caroline Egger is a registered financial advisor currently at LAZARD FRERES & CO. LLC located in Charlotte, North Carolina. Caroline is registered as a RR (Registered Representative) and started their career in finance in 2025. Caroline has worked at 1 firm and has passed the Series 79TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
1 years in the financial services industry
Current & Past Employments
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Current Firm
LAZARD ASSET MANAGEMENT | LAZARD FRERES & CO. LLC | LAZARD FRERES & CO.
Contact Information
Main Address
30 Rockefeller Plaza, New York, NY 10020-5900Mailing Address
30 Rockefeller Plaza, New York, NY 10020-5900Phone Number
(212) 632-6000Established
New York since 05/01/1995Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
14Civil Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Aug 2025About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Caroline Egger's CRS (Customer Relationship Summary).
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