David J. 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.
David Joseph Lamb was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2013 - August 16, 2021
PURSHE KAPLAN STERLING INVESTMENTS
January 4, 2002 - June 20, 2013
JANNEY MONTGOMERY SCOTT LLC
August 5, 2000 - January 16, 2002
WELLS FARGO CLEARING SERVICES, LLC
November 3, 1978 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
March 12, 1976 - February 25, 1980
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 6, 1974 - August 12, 1976
SYMETRA SECURITIES, INC.
July 16, 1973 - February 12, 1974
SHIELDS & COMPANY INCORPORATED
April 22, 1971 - August 12, 1973
GLEACHER & COMPANY SECURITIES, INC.
November 20, 1970 - May 21, 1971
THE I.E.S. MANAGEMENT GROUP, INC.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 5/10/1979
AMEX Put and Call ExamSeries 1
Date: 8/15/1966
Registered Representative ExaminationSeries 00
Date: 6/6/1969
General Securities Principal ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
