Neil W. 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.
Neil Wayne Lambert, who also goes by Neil W Lambert, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1996. Neil had worked at 6 firms and has passed the Series 65, 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
May 22, 2015 - January 8, 2024
ACT ADVISORS
January 16, 2003 - August 17, 2015
LOWCOUNTRY INVESTMENT ADVISORS, INC.
January 2, 2003 - April 1, 2003
TRIAD ADVISORS LLC
May 4, 1999 - January 13, 2003
CUNA BROKERAGE SERVICES, INC.
September 5, 1996 - December 2, 1998
IDS LIFE INSURANCE COMPANY
September 5, 1996 - December 2, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
ACT ADVISORS
CRD#: 173120 / SEC#: 801-80418
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
ACT ADVISORS
CRD#: 173120 / SEC#: 801-80418
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,027 |
| AUM (Assets Under Management) | $ 433,964,272 |
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.
