Jeffrey Lamboy
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.
Jeffrey Lamboy, who also goes by Jeff Lamboy, was a registered financial advisor .
Jeffrey is a previously registered financial advisor and started their career in finance in 1998. Jeffrey had worked at 5 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 62 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2005 - February 19, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 6, 2005 - February 19, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 2003 - December 31, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - September 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
November 20, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 9, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 18, 1999 - July 20, 1999
BUCKMAN, BUCKMAN & REID, INC.
November 16, 1998 - February 1, 1999
LADENBURG CAPITAL MANAGEMENT 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 62
Date: 6/16/1999
Corporate Securities Limited Representative ExaminationCurrent Firm
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
