Dana W. 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.
Dana Ward Lamb was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 2005. Dana had worked at 6 firms and has passed the Series 63, Series 66 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
June 9, 2014 - June 24, 2014
BOUSTEAD SECURITIES, LLC
December 19, 2012 - August 21, 2013
LPL FINANCIAL LLC
December 14, 2012 - August 21, 2013
LPL FINANCIAL LLC
June 6, 2012 - December 17, 2012
A.G.P. / ALLIANCE GLOBAL PARTNERS
June 6, 2012 - December 17, 2012
A.G.P. / ALLIANCE GLOBAL PARTNERS
September 26, 2011 - May 16, 2012
CHASE INVESTMENT SERVICES CORP.
September 26, 2011 - May 16, 2012
CHASE INVESTMENT SERVICES CORP.
July 23, 2009 - September 20, 2011
A.G.P. / ALLIANCE GLOBAL PARTNERS
May 28, 2008 - September 20, 2011
A.G.P. / ALLIANCE GLOBAL PARTNERS
September 19, 2005 - May 30, 2008
TOWER ASSET MANAGEMENT LLC
April 15, 2005 - May 30, 2008
M.L. STERN & CO., LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BOUSTEAD SECURITIES, LLC
CRD#: 141391 / SEC#: , 8-67384
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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