Michael J. Lamb
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.
Michael James Lamb was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2021 - September 10, 2021
WINSLOW DRAKE, INC.
March 17, 2017 - October 15, 2019
MORGAN STANLEY
March 17, 2017 - October 15, 2019
MORGAN STANLEY
September 13, 2013 - March 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 13, 2013 - March 20, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 2012 - September 27, 2013
RBC CAPITAL MARKETS, LLC
February 17, 2010 - September 27, 2013
RBC CAPITAL MARKETS, LLC
October 23, 2006 - February 22, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 1, 2005 - August 25, 2006
CANTOR FITZGERALD SECURITIES
April 29, 2004 - August 25, 2006
CANTOR FITZGERALD & CO.
November 15, 2001 - May 21, 2004
RAYMOND JAMES & ASSOCIATES, INC.
February 8, 2000 - March 22, 2001
U.S. BANCORP INVESTMENTS, INC.
January 3, 1995 - March 6, 2001
PIPER SANDLER & CO.
November 13, 1991 - January 16, 1995
PRUDENTIAL EQUITY GROUP, LLC
September 19, 1988 - November 18, 1991
UBS FINANCIAL SERVICES INC.
February 15, 1988 - October 4, 1988
LEHMAN BROTHERS INC.
November 5, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 11, 1985 - November 17, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
March 1, 1983 - June 26, 1985
E. F. HUTTON & COMPANY INC
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
Series 8
Date: 1/14/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WINSLOW DRAKE, INC.
CRD#: 286638 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 86 |
| AUM (Assets Under Management) | $ 50,898,094 |
Red Flags
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