CRD #2528 · FINRA BrokerCheck + SEC IAPD

Lazard Freres & Co. LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lazard Freres & Co. LLC ranks #418 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #55 of 868 on the same disclosure sort used on the state browse page. Lazard Freres & Co. LLC carries 16 BrokerCheck disclosures across 10 branch offices - elevated load for a regional firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
10
branch offices
16
disclosures
#418 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 2528 Lazard Freres & Co. LLC

Lazard Freres & Co. LLC · Grade D · 16 disc · 1.60/office · Regional firm

  • CRD 2528
  • GRADE D
  • DISC 16
  • REG 14
  • ARB 0
  • CIV 2
  • BRANCH 10
  • PER-OFF 1.60
  • RANK #418 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Roth Capital Partners, LLC (1.56 disc/office)

Roth Capital Partners, LLC1.56GMS Group1.80Regal Securities, Inc.1.36Lazard Freres & Co.… (this)1.60
Disclosures per office among regional firm peers (lower is cleaner)

Lazard Freres & Co. LLC ranks #418 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.60 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

10 offices

FINRA: Large firm

Total disclosures

16 events

On FINRA BrokerCheck

Regulatory events

14 actions

88% of all disclosures

Disclosures per office

1.60 per office

16 ÷ 10 offices

Lazard Freres & Co. LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

2 a cleaner per-office record than 17% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). This entry sits in this band. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 14
Arbitrations 0
Civil Events 2
Total 16

Counts for Lazard Freres & Co. LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 14 Arbitration 0 Civil 2

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
New York, NY, 10020-5900
Formed
05/01/1995
State of Formation
New York
CRD Number
2528
SEC Number
2595

Regulator-heavy mix

Lazard Freres & Co. LLC in the heavier-disclosure third

Lazard Freres & Co. LLC carries 16 BrokerCheck disclosures across 10 branch offices - a heavier-third raw book among graded firms (#418 of 20,055). Regulator-initiated events are 88% of the book (14 regulatory / 0 arbitration / 2 civil).

88% of Lazard Freres & Co. LLC's 16 disclosures are regulator-initiated (14 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Lazard Freres & Co. LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 1.83× state average

Lazard Freres & Co. LLC sits above the New York disclosure average

Lazard Freres & Co. LLC reports 16 BrokerCheck disclosures, 1.83× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Lazard Freres & Co. LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Lazard Freres & Co. LLC ranks #418 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #55 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for Lazard Freres & Co. LLC?
A grade of D reflects Lazard Freres & Co. LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 16 total disclosures across 10 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Lazard Freres & Co. LLC have?
Lazard Freres & Co. LLC has 16 total FINRA disclosures, including 14 regulatory events, 2 civil events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Lazard Freres & Co. LLC?
Lazard Freres & Co. LLC operates 10 branch offices and is classified by FINRA as a large firm, registered in NY (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Lazard Freres & Co. LLC's disciplinary record?
You can verify Lazard Freres & Co. LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 2528. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Lazard Freres & Co. LLC's 16 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Lazard Freres & Co. LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Lazard Freres & Co. LLC carries 16 disclosures across 10 branch offices (about 1.60 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Lazard Freres & Co. LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Roth Capital Partners, LLC (CA) - 1.56 disclosures/office, nearest regional firm peer to Lazard Freres & Co. LLC's 1.60
  • GMS Group (NJ) - 1.80 disclosures/office, nearest regional firm peer to Lazard Freres & Co. LLC's 1.60
  • Regal Securities, Inc. (IL) - 1.36 disclosures/office, nearest regional firm peer to Lazard Freres & Co. LLC's 1.60
  • Firms in NY - state roster that includes Lazard Freres & Co. LLC's registration home.
  • Red Flags in Advisor Records - How to read Lazard Freres & Co. LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 16 disclosures behind Lazard Freres & Co. LLC's Grade D.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Lazard Freres & Co. LLC.
  • Compare firms - put Lazard Freres & Co. LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.