James F. Lamb
Professional summary
James F Lamb, who also goes by James Francis Lamb, is a registered financial professional currently at QUATTRO M SECURITIES INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James F Lamb's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 5, 2011 - Present
QUATTRO M SECURITIES INC.
Office #1: 501 Fifth Avenue 15th Floor, New York, NY 10017September 17, 2009 - January 11, 2012
BLUE POINT SECURITIES INC.
May 20, 2009 - August 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2009 - August 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2005 - July 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 27, 1992 - July 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/5/2011)
Exams
FINRA
NYSE American LLC
New York Stock Exchange
Current Firm
QUATTRO M SECURITIES INC.
CRD#: 39289 / SEC#: , 8-48629
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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