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KL

Kenneth Thomas Lambright

CRD# 1124567·Registered 1996 - 1999
Previously Registered: Being a previously registered professional could mean that Kenneth 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.

Professional Summary

Kenneth Thomas Lambright was a registered financial advisor. Kenneth was a previously registered financial professional and started their career in finance 1996 - 1999. Kenneth had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

THE CHAPMAN CO.·CRD# 19178
BD
Columbia, MD
May 29, 1998 - April 25, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
August 25, 1997 - April 30, 1998
ALLFIRST BROKERAGE CORPORATION·CRD# 17531
BD
Baltimore, MD
December 2, 1996 - May 14, 1997
CITISTREET EQUITIES LLC·CRD# 7447
BD
Somerset, NJ
January 22, 1996 - February 22, 1996

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Current Firm

TC
THE CHAPMAN CO.

THE CHAPMAN CO | THE CHAPMAN CO.

CRD#: 19178 / SEC#: 8-37188
BD
Cancelled by SEC on 10/04/2006

Contact Information

Established

Maryland since 09/16/1986

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CHAPMAN HOLDINGS, INC.PARENT—
BALDWIN, DANIEL JRPRESIDENT1916044
BALLARD, MARY LYNNTREASURER, ASST SEC, COMPLIANCE OFFICER1887039
BRAVO, EARL URBAN SRDIRECTOR, SR VP, SEC, ASST TREAS., FIN-OP2034052

Disclosures

Regulatory Event

8

Civil Event

1

Arbitration

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1997About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jul 1997About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jan 1996About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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