Scott D. Lambert

ANOS CAPITAL

NEW YORK, NY 10174

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CRD#: 1308780

Professional summary

Scott David Lambert, who also goes by Scott D Lambert, is a registered financial professional currently at ANOS CAPITAL, LLC located in New York, New York.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1984. Scott has worked at 6 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott D Lambert

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott David Lambert's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 20, 2024 - Present

ANOS CAPITAL, LLC

Office #1: 405 Lexington Avenue 9th Floor, New York, NY 10174

RIA

CRD#: 284714

NEW YORK, NY

Past

May 13, 2022 - February 7, 2024

ELEVATION, LLC

CRD#: 140341

CHARLOTTE, NC

Past

September 4, 2007 - January 6, 2012

BTIG, LLC

CRD#: 122225

ASPEN, CO

Past

September 1, 1994 - March 29, 2007

JONESTRADING

CRD#: 6888

ASPEN, CO

Past

November 9, 1989 - August 7, 1994

S.G. WARBURG & CO. INC.

CRD#: 1483

NEW YORK, NY

Past

October 25, 1984 - May 17, 1988

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(2/20/2024)

Florida
(3/11/2024)

Maryland
(2/21/2024)

Exams

State Security Law Exam

Series 63

Date: 5/31/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 4/1/2024

Securities Trader Exam

General Industry/Product Exam

Series 7TO

Date: 5/12/2022

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 1/13/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/18/2002

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

ANOS CAPITAL, LLC

ABEL NOSER, LLC. | ANOS CAPITAL, LLC | ANOS CAPITAL, L.L.C. | ABEL/NOSER, L.L.C.

CRD#: 284714 / SEC#: , 8-69809

New York

Registered Investment Advisory firm - SEC (6/9/2017 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

405 Lexington Avenue 9th Floor, New York, NY 10174

Mailing Address

405 Lexington Avenue 9th Floor, New York, NY 10174

Phone number

(646) 432-4100

Established

Delaware since 04/21/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ANOS HOLDINGS, LLC	OWNER
DALLAL, JEFFREY HARON	PRESIDENT/CHIEF OPERATING OFFICER	2316096
DANIELE, EDWARD ROBERT	CHIEF COMPLIANCE OFFICER/AML OFFICER	1224878
EMMERICH, CLIFFORD GENNARO	SENIOR MANAGING DIRECTOR HEAD OF SALES AND TRADING	2412767
IANNUCCI, MICHAEL CHRISTOPHER	IA TRANSITION MANAGEMENT	4709972
PAPATSOS, JOHN NICK	FINOP	4416912
RIVELLI, DOUGLAS DUVALL	CHIEF EXECUTIVE OFFICER	2174199

Red Flags

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Firm Stability Insights

Scott D. Lambert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Scott David Lambert's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELEVATION, LLC

BTIG, LLC

JONESTRADING

S.G. WARBURG & CO. INC.

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/31/2023

Series 57TO

Date: 4/1/2024

Series 7TO

Date: 5/12/2022

Series 55

Date: 1/13/2000

Series 7

Date: 10/20/1984

Series 24

Date: 3/18/2002

FINRA

Investors' Exchange LLC

Nasdaq Stock Market

Current Firm

ANOS CAPITAL, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ANOS CAPITAL, LLC

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