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Rosalie Berman

Chief Operating Officer at Lazard Asset Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Rosalie Berman is Chief Operating Officer of Lazard Asset Management LLC, a New York investment adviser managing $121B. Rosalie Berman has a current broker registration and no current investment-adviser registration and has passed the Series 7, SIE, Series 79TO and Series 99TO.

Role at Lazard Asset Management

Title on Schedule A
Chief Operating Officer
Control
Rosalie Berman is a control person of Lazard Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Rosalie Berman has held the filed role since January 2026.

The firm

Lazard Asset Management LLC
New York, NY

Form ADV filed 30 March 2026

$121B AUM5,110 clients240 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed Series 79TO and Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 7 · 2005

Registrations and exams

Broker registration; no current adviser registration. Rosalie Berman has passed 4 qualifying exams.

Examinations

Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 76 May 2005
Name
General Securities Representative Examination

Individual record

Full name
Rosalie F. Berman
CRD
4251310
Firm
Lazard Asset Management LLC
Registration status
Broker registration; no current adviser registration
Firm bio
lazardassetmanagement.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Lazard Asset Management lists Rosalie Berman as chief operating officer. Official Lazard Asset Management people page

Common questions

Where does Rosalie Berman work?

Rosalie Berman has been Chief Operating Officer of Lazard Asset Management LLC since January 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Does Rosalie Berman have a current investment-adviser registration?

Rosalie Berman has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Rosalie Berman passed?

Rosalie Berman has passed 4 licensing exams: the Series 7, SIE, Series 79TO and Series 99TO. The earliest, the Series 7, was passed in May 2005.

Source: IAPD individual record, checked 17 October 2026

Leadership at Lazard Asset Management

Sources

  1. IAPD individual record, CRD 4251310. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Lazard Asset Management LLC, filed 30 March 2026. Title, control and ownership bands.
  3. Lazard Asset Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Rosalie Berman or Lazard Asset Management LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.