James M. Lamb
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.
James Mercer Lamb, who also goes by Jim Lamb, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2002. James had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 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
July 12, 2006 - December 31, 2014
FIRST INDEPENDENT ADVISORY SERVICES, INC.
July 7, 2006 - December 31, 2014
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
March 2, 2005 - July 6, 2006
1ST GLOBAL ADVISORS INC
October 12, 2004 - July 6, 2006
1ST GLOBAL CAPITAL CORP.
August 12, 2003 - August 13, 2004
CANTELLA & CO., INC.
August 26, 2002 - April 29, 2003
PARKLAND SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST INDEPENDENT ADVISORY SERVICES, INC.
CRD#: 132678 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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