Philip Lambing
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Philip Lambing JR, who also goes by Phil Lambing Jr, Philip (jr) Lambing, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1982. Philip had worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2014 - July 22, 2016
OSAIC INSTITUTIONS, INC.
April 29, 2014 - July 22, 2016
OSAIC INSTITUTIONS, INC.
May 26, 2010 - February 13, 2013
CUNA BROKERAGE SERVICES, INC.
May 26, 2010 - February 13, 2013
CUNA BROKERAGE SERVICES, INC.
September 6, 2001 - February 27, 2009
VOYA FINANCIAL ADVISORS, INC.
August 2, 2001 - December 31, 2003
VESTAX SECURITIES CORPORATION
July 27, 2001 - December 31, 2003
CETERA ADVISORS LLC
July 24, 2001 - December 31, 2003
CETERA INVESTMENT SERVICES LLC
July 24, 2001 - December 31, 2003
GUARANTY BROKERAGE SERVICES, INC.
July 24, 2001 - December 31, 2003
BANCNORTH INVESTMENT GROUP, INC.
July 24, 2001 - December 31, 2003
BANCWEST INVESTMENT SERVICES, INC.
July 5, 2001 - December 31, 2003
IFG NETWORK SECURITIES, INC.
March 13, 2000 - December 31, 2002
LOCUST STREET SECURITIES, INC.
May 1, 1995 - March 9, 2000
FIMCO SECURITIES GROUP, INC.
July 30, 1993 - August 22, 1994
MARKETING ONE SECURITIES, INC.
July 6, 1992 - July 1, 1993
WALL STREET ACCESS
November 8, 1988 - March 2, 1992
UNITED PACIFIC FINANCIAL SERVICES, INC.
March 7, 1988 - October 5, 1988
AMA INVESTMENT ADVISERS, INC.
January 20, 1987 - March 9, 1988
SIGNATOR INVESTORS, INC.
May 2, 1985 - May 28, 1986
A. G. EDWARDS & SONS, INC.
March 7, 1985 - May 2, 1985
BCG SECURITIES, INC.
June 21, 1982 - February 20, 1985
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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.
