Benjamin J. 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.
Benjamin Joseph Lambert IV, who also goes by Ben Lambert IV, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1993. Benjamin had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
September 20, 2016 - June 12, 2019
TRUIST ADVISORY SERVICES, INC.
February 3, 2012 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
February 3, 2012 - June 12, 2019
TRUIST INVESTMENT SERVICES, INC.
October 23, 2009 - February 7, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - February 7, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 17, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 1, 2000 - April 6, 2001
WELLS FARGO CLEARING SERVICES, LLC
June 8, 1994 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
August 14, 1993 - August 23, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
