Steven J. Lambert

SLR ADVISORS

SANTA ROSA, CA

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CRD#: 4662696

Professional summary

Steven James Lambert, who also goes by Steve Lambert, is a registered financial advisor currently at SLR ADVISORS located in Santa Rosa, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Steven has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Lambert

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.

1. 4/20/2016: SLR Financial, Inc. - DBA: SLR Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 08/26/2015 - 40 Hours Per Month During Securities Trading - Fee for Service and Financial Plans will be offered. 2. 5/2/2016: SLR Asset Management - DBA: SLR Financial, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 08/26/2015 - 40 Hours Per Month During Securities Trading - Fee for Service and Financial Plans will be offered. 3. 5/18/2016: SLR Asset Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 08/26/2015 - 80 Hours Per Month During Securities Trading. 4. 5/18/2016: SLR Asset Management - DBA: SLR Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 03/10/2016 - 40 Hours Per Month During Securities Trading - IAR. 5. 02/13/2023 - Door Dash - Not Investment Related - Sonoma County - Outside/W-2 Employment - Part time delivery driver - Start Date: 09/07/2022 - 20 Hours Per month/0 Hours During Securities Trading. 6. 02/13/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date: 01/03/2022 - 3 Hours Per month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Lambert's CRS (Customer Relationship Summary).

RIA

CRD#: 10582

NOVATO, CA

Past

March 7, 2005 - August 31, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

June 26, 2003 - February 8, 2005

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

OMAHA, NE

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/9/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/6/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/2/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/24/2003

General Securities Representative Examination

Current Firm

SLR ADVISORS

SLR ADVISORS | SLR ASSET MANAGEMENT, LLC

CRD#: 325660 / SEC#:

California

Registered Investment Advisory firm - (6/9/2023 Approved)

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Contact information

Main Address

Santa Rosa, CA

Mailing Address

Phone number

(707) 292-0502

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	52
AUM (Assets Under Management)	$ 6,000,000

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.

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Firm Stability Insights

Steven J. Lambert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Lambert's CRS (Customer Relationship Summary).

Certified licenses

Experience

SLR FINANCIAL

SLR FINANCIAL

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

COUNTRYWIDE INVESTMENT SERVICES, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

BANCWEST INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2005

Series 63

Date: 7/2/2003

SIE

Date: 10/1/2018

Series 7

Date: 6/24/2003

Current Firm

SLR ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SLR ADVISORS

TRUST BUT VERIFY

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