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David Hamilton Willis

Lazard Asset Management Securities LLC

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About David Hamilton Willis

David Willis is a financial advisor with over 25 years of experience in the financial services industry. David has held positions with several firms including Prudential Securities Incorporated, Pruco Securities Corporation, SEI Investments Distribution Co., ICC Distributors, Inc. and Nicholas-Applegate Securities LLC. Currently, David is registered with Lazard Asset Management Securities LLC and is active in 52 states. David has a strong track record of providing investment advice to individuals and families.

Firm Information

David Willis is currently registered with Lazard Asset Management Securities LLC. Lazard Asset Management Securities LLC is a Limited Liability Company formed in May 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

131

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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David Willis’s Registration & Firm History

NY

01/12/2007 - Present

Lazard Asset Management Securities LLC (NEW YORK NY)

NY

05/05/2000 - 01/08/2007

NICHOLAS-APPLEGATE SECURITIES LLC (NEW YORK NY)

ME

08/19/1999 - 05/10/2000

ICC DISTRIBUTORS, INC. (PORTLAND ME)

PA

07/08/1997 - 07/23/1999

SEI INVESTMENTS DISTRIBUTION CO. (OAKS PA)

NY

02/03/1994 - 08/11/1995

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NJ

08/24/1992 - 10/15/1993

PRUCO SECURITIES CORPORATION (NEWARK NJ)

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Licenses & Designations

IA

Issued 02/10/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/10/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/14/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/21/2012

Series 31 - Futures Managed Funds Examination

BC

Issued 02/02/1994

Series 7 - General Securities Representative Examination

BC

Issued 08/21/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Hamilton Willis.
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