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SL

Sanjay Lamba

HOLLISTER ASSOCIATES
MOUNT PLEASANT, SC
Some features on this profile are disabled
CRD#: 4327926
SL

Professional summary

Sanjay Lamba is a registered financial professional currently at HOLLISTER ASSOCIATES, LLC located in Mount Pleasant, South Carolina.

Sanjay is registered as a RR (Registered Representative) and started their career in finance in 2001. Sanjay has worked at 4 firms and has passed the Series 63, Series 82TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sanjay Lamba's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 2, 2016 - Present

HOLLISTER ASSOCIATES, LLC

BD
CRD#: 173366
MOUNT PLEASANT, SC
Past

January 5, 2009 - April 5, 2013

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

September 22, 2008 - December 10, 2008

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

January 30, 2001 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/3/2019)
RR
California
(3/13/2017)
RR
Colorado
(1/4/2019)
RR
Connecticut
(1/4/2019)
RR
District of Columbia
(1/7/2019)
RR
Florida
(12/6/2016)
RR
Illinois
(1/8/2018)
RR
Louisiana
(7/3/2017)
RR
Massachusetts
(1/4/2019)
RR
Michigan
(1/10/2019)
RR
Nevada
(9/14/2017)
RR
New Jersey
(1/30/2019)
RR
New York
(3/16/2017)
RR
North Carolina
(1/3/2019)
RR
Ohio
(1/3/2019)
RR
Oregon
(2/25/2020)
RR
Pennsylvania
(1/4/2019)
RR
South Carolina
(1/3/2019)
RR
Tennessee
(1/4/2019)
RR
Texas
(1/8/2019)
RR
Virginia
(1/3/2019)
RR
Washington
(1/4/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 3/13/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/29/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HA
HOLLISTER ASSOCIATES, LLC
HOLLISTER ASSOCIATES, LLC

CRD#: 173366 / SEC#: , 8-69538

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
257 River Oak Drive, Mount Pleasant, SC 29464
Mailing Address
257 River Oak Drive, Mount Pleasant, SC 29464
Phone number
(401) 465-3080
Established
South Carolina since 09/09/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOLLISTER, CHRISTOPHER VERNCEO/CCO5637565
CLIFFHANGER INVESTMENTS, LLCOWNER
KUGLER, JACQUESOWNER5105697
MADABA INVESTMENTS, LLCOWNER
PORTWOOD, WILLIAM BOYCECFO/FINOP4853700

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.

Company Information

HOLLISTER ASSOCIATES, LLC

CRD#: 173366Mount Pleasant, SC

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