William J. 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.
William Jay Lambert was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2002. William had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 4 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
December 20, 2007 - August 29, 2008
BROKERSXPRESS LLC
May 10, 2004 - August 29, 2008
BROKERSXPRESS LLC
September 8, 2003 - September 17, 2013
AFFINITY MANAGEMENT CORPORATION
January 2, 2003 - June 2, 2004
OPTIONSXPRESS, INC.
April 1, 2002 - December 31, 2002
GREAT AMERICAN INVESTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROKERSXPRESS LLC
CRD#: 127081 / SEC#: 801-66123, 8-65953
Contact information
Disclosures
| Regulatory Event | 6 |
| Bond | 1 |
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.
