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SI

Steven S. Isherwood

LAMPERT CAPITAL MARKETS
Ny, NY 10022
Some features on this profile are disabled
CRD#: 2172266
SI

Professional summary

Steven Scott Isherwood, who also goes by S. Scott Isherwood, is a registered financial professional currently at LAMPERT CAPITAL MARKETS INC. located in Ny, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1991. Steven has worked at 8 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

S. Scott Isherwood

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Scott Isherwood's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 22, 2022 - Present

LAMPERT CAPITAL MARKETS INC.

Office #1: 900 Third Ave Suite 1403, Ny, NY 10022
BD
CRD#: 103725
Ny, NY
Past

November 26, 2018 - November 23, 2020

D.A. DAVIDSON & CO.

BD
CRD#: 199
NEW YORK, NY
Past

September 29, 2014 - June 1, 2018

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

January 27, 2014 - September 29, 2014

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEW YORK, NY
Past

August 27, 2002 - January 28, 2014

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
NEW YORK, NY
Past

April 30, 2001 - April 18, 2002

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

August 7, 1997 - April 30, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

September 25, 1991 - July 29, 1997

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(5/22/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/24/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/13/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/13/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/13/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LAMPERT CAPITAL MARKETS INC.
ICM CAPITAL MARKETS LTD. | LAMPERT CAPITAL MARKETS INC. | INTERNET CAPITAL MARKETS CORPORATION

CRD#: 103725 / SEC#: , 8-52234

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
900 Third Ave Suite 1403, Ny, NY 10022
Mailing Address
900 Third Ave Suite 1403, Ny, NY 10022
Phone number
(347) 614-4775
Established
New York since 09/25/1998
Firm type
Corporation
Fiscal year end
August
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LAMPERT ADVISORS LLCSHAREHOLDER
LAMPERT, STEWART RANDYCHAIRMAN/CEO DIRECTOR/ CCO
NG, NELSONCHIEF FINANCIAL OFFICER1716597

Disclosures

Regulatory Event1
Arbitration1

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.

Company Information

LAMPERT CAPITAL MARKETS INC.

CRD#: 103725Ny, NY 10022

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