Roger E. Lambourn
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.
Roger Elliot Lambourn, who also goes by Roger E Lambourn, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1983. Roger had worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2008 - February 4, 2015
LOCKTON INVESTMENT SECURITIES, LLC
October 9, 2006 - July 2, 2008
OSAIC SERVICES, INC.
October 15, 1993 - June 6, 1994
VOYA FINANCIAL PARTNERS, LLC
September 6, 1990 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
June 24, 1983 - October 7, 1987
AETNA FINANCIAL SERVICES, INC.
June 19, 1983 - June 7, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 2
Date: 8/24/1972
Non-Member General Securities ExaminationCurrent Firm
LOCKTON INVESTMENT SECURITIES, LLC
CRD#: 137476 / SEC#: , 8-67090
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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