Corbin L. Lambert
Professional summary
Corbin Lindsay Lambert was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Corbin is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Corbin had worked at 5 firms, which includes SECURITIES AMERICA INC., CONTINUUM FINANCIAL, MML INVESTORS SERVICES LLC, SECURIAN FINANCIAL SERVICES INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2015 - December 7, 2020
SECURITIES AMERICA, INC.
June 8, 2015 - December 21, 2020
CONTINUUM FINANCIAL
May 29, 2007 - June 8, 2015
MML INVESTORS SERVICES, LLC
May 7, 2007 - June 8, 2015
MML INVESTORS SERVICES, LLC
August 26, 2005 - May 11, 2007
SECURIAN FINANCIAL SERVICES, INC.
July 21, 2005 - May 11, 2007
SECURIAN FINANCIAL SERVICES, INC.
August 13, 1999 - July 11, 2005
PRUCO SECURITIES, LLC.
March 8, 1999 - July 11, 2005
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
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