Benjamin V. Lambert
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.
Benjamin Victor Lambert was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1981. Benjamin had worked at 5 firms and has passed the Series 7TO, Series 79TO, Series 99TO, SIE, Series 24 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
October 1, 2019 - March 11, 2021
EASTDIL SECURED ADVISORS LLC
July 1, 2009 - October 1, 2019
WELLS FARGO SECURITIES, LLC
January 9, 2007 - July 1, 2009
WELLS FARGO SECURITIES, LLC
April 27, 1985 - March 14, 1986
UBS FINANCIAL SERVICES INC.
November 14, 1981 - September 14, 2005
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 00
Date: 4/24/1967
General Securities Principal ExaminationCurrent Firm
EASTDIL SECURED ADVISORS LLC
CRD#: 304434 / SEC#: , 8-70367
Contact information
FINRA licenses (51 States and Territories)
Documents
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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