Lawrence W. 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.
Lawrence William Lambert SR, who also goes by Larry Lambert, Lawrence W Lambert, Lawrence William Lambert, was a registered financial advisor .
Lawrence is a previously registered financial advisor and started their career in finance in 1973. Lawrence had worked at 6 firms and has passed the Series 63, Series 1 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
August 23, 2011 - August 21, 2012
SANDLAPPER SECURITIES, LLC
January 4, 2006 - August 22, 2011
CAPWEST SECURITIES, INC.
September 21, 2005 - August 22, 2011
CAPWEST SECURITIES, INC.
November 1, 2002 - October 11, 2005
UNITED SECURITIES ALLIANCE, INC.
May 7, 1999 - October 11, 2005
UNITED SECURITIES ALLIANCE, INC.
September 10, 1973 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
September 10, 1973 - July 7, 1997
IDS LIFE INSURANCE COMPANY
September 10, 1973 - July 7, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
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 1
Date: 9/5/1973
Registered Representative ExaminationCurrent Firm
SANDLAPPER SECURITIES, LLC
CRD#: 137906 / SEC#: , 8-67128
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
