Mary E. Lambert
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.
Mary Elizabeth Lambert, who also goes by Mary Elizabeth Harten, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1993. Mary had worked at 15 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2012 - January 3, 2013
PLANMEMBER SECURITIES CORPORATION
July 31, 2012 - January 3, 2013
PLANMEMBER SECURITIES CORPORATION
January 3, 2011 - October 17, 2011
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - October 17, 2011
VOYA FINANCIAL ADVISORS, INC.
November 15, 2006 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
September 7, 2006 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
March 10, 2006 - August 10, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
November 4, 2004 - August 15, 2005
A. G. EDWARDS & SONS, INC.
February 2, 2004 - November 24, 2004
NYLIFE SECURITIES LLC
June 27, 2002 - February 6, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 2, 2002 - April 26, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 31, 2000 - October 9, 2001
ESSEX NATIONAL SECURITIES, LLC
July 6, 1999 - January 25, 2000
METROPOLITAN LIFE INSURANCE COMPANY
July 6, 1999 - January 25, 2000
MSI FINANCIAL SERVICES, INC.
October 19, 1998 - June 28, 1999
FIS SECURITIES, INC.
October 13, 1998 - June 28, 1999
FLEET ENTERPRISES, INC.
July 30, 1998 - September 11, 1998
KEY INVESTMENTS INC.
March 19, 1993 - April 21, 1998
BNY MELLON SECURITIES CORPORATION
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
