Douglas C. Lamb
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.
Douglas Charles Lamb, who also goes by Douglas C Lamb, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1995. Douglas had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2016 - January 2, 2025
COVA CAPITAL PARTNERS LLC
January 13, 2014 - December 31, 2015
FINANCIAL AMERICA SECURITIES, INC.
September 24, 2012 - January 7, 2014
HENNION & WALSH, INC.
March 2, 2009 - August 31, 2012
FINTEGRA, LLC
December 1, 2005 - March 2, 2009
SANDERS MORRIS LLC
February 6, 2003 - December 13, 2005
RYAN BECK & CO.
April 11, 1997 - February 4, 2003
LADENBURG THALMANN & CO. INC.
September 25, 1995 - April 11, 1997
MESIROW FINANCIAL, INC.
April 28, 1995 - September 25, 1995
RODMAN & RENSHAW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COVA CAPITAL PARTNERS LLC
CRD#: 109761 / SEC#: , 8-53105
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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