Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lainie? Claim Your ProfileLainie Small is a registered representative with Morgan Stanley. Lainie has been in the securities industry for over 30 years. Lainie has a Series 6, 7, 31, and SIE licenses and is registered in 18 states. Lainie's previous experience includes working at Lazard Asset Management Securities LLC and Lazard Freres & Co. LLC. Lainie is able to provide a variety of services to clients, including financial planning, investment management, and asset allocation advice.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
05/18/2020 - Present
Morgan Stanley (New York NY)
NY
04/01/2004 - 03/31/2017
LAZARD ASSET MANAGEMENT SECURITIES LLC (NEW YORK NY)
NY
10/26/1992 - 12/31/2002
LAZARD FRERES & CO. LLC (NEW YORK NY)
TN
09/11/1987 - 04/30/1991
ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)
BC
Issued 08/21/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 02/16/1994
Series 7 - General Securities Representative Examination
BC
Issued 08/14/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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