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DL

David R. Lamb

CHELSEA FINANCIAL SERVICES
Staten Island, NY 10307
Some features on this profile are disabled
CRD#: 2228764
DL

Professional summary

David Russell Lamb, who also goes by Rusty Lamb, is a registered financial professional currently at CHELSEA FINANCIAL SERVICES located in Staten Island, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rusty Lamb

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 David Russell Lamb'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

January 13, 2016 - Present

CHELSEA FINANCIAL SERVICES

Office #1: 242 Main Street, Staten Island, NY 10307
BD
CRD#: 47770
Staten Island, NY
Past

May 4, 2016 - January 23, 2018

CHELSEA ADVISORY SERVICES, INC

RIA
CRD#: 150791
Conyers, GA
Past

February 11, 2011 - December 2, 2015

MONTICELLO INVESTMENT SERVICES, INC.

RIA
CRD#: 140851
NEOSHO, MO
Past

December 21, 2010 - October 27, 2015

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
JOPLIN, MO
Past

February 1, 2010 - December 31, 2010

PEACHTREE PLANNING ADVISORS, INC.

RIA
CRD#: 112787
ATLANTA, GA
Past

August 7, 2009 - October 22, 2010

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
ATLANTA, GA
Past

July 22, 2009 - October 22, 2010

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
ATLANTA, GA
Past

May 28, 2008 - July 7, 2009

LOCKTON INVESTMENT ADVISORS, LLC

RIA
CRD#: 144133
ATLANTA, GA
Past

May 9, 2008 - July 7, 2009

LOCKTON INVESTMENT SECURITIES, LLC

BD
CRD#: 137476
ATLANTA, GA
Past

September 13, 2004 - April 15, 2008

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
PARSIPPANY, NJ
Past

September 13, 2004 - April 15, 2008

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
JERSEY CITY, NJ
Past

June 29, 1999 - September 10, 2004

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
ATLANTA, GA
Past

February 4, 1998 - September 10, 2004

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

April 24, 1992 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

BD
CRD#: 5081
HOUSTON, TX

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
Georgia
(1/13/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/9/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/9/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/10/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 2/10/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/26/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/17/1995
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CHELSEA FINANCIAL SERVICES
CHELSEA FINANCIAL SERVICES | DBA CHELSEA FINANCIAL SERVICES | CHELSEA MORGAN SECURITIES, INC.

CRD#: 47770 / SEC#: , 8-51916

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
242 Main Street, Staten Island, NY 10307
Mailing Address
242 Main Street, Staten Island, NY 10307
Phone number
(718) 967-8400
Established
New York since 05/05/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
PISAPIA, JOHN THOMASPRESIDENT2336216
SEBOLD, STEPHEN RAPHAELCHIEF COMPLIANCE OFFICER2453748

Disclosures

Regulatory Event4

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

CHELSEA FINANCIAL SERVICES

CRD#: 47770Staten Island, NY 10307

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