Henry L. 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.
Henry Lee Lambert, who also goes by Henry L Lambert, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1987. Henry had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2000 - July 12, 2000
J.P. TURNER & COMPANY, L.L.C.
March 15, 2000 - May 18, 2000
IDS LIFE INSURANCE COMPANY
March 15, 2000 - May 18, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
January 6, 2000 - March 10, 2000
J.P. TURNER & COMPANY, L.L.C.
November 4, 1996 - November 19, 1999
SUNPOINT SECURITIES, INC.
January 13, 1994 - November 4, 1996
MORGAN STANLEY DW INC.
June 24, 1987 - January 24, 1994
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
Exams
Current Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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.
