Jeffrey D. Lamb

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 4993140

Professional summary

Jeffrey David Lamb, who also goes by David Lamb, Jeffrey David Lamb Jr, Jeffrey David Lamb, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2005. Jeffrey has worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Lamb | Jeffrey David Lamb Jr | Jeffrey David Lamb

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 Jeffrey David Lamb'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

June 8, 2023 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003

CRD#: 305908

New York, NY

Past

November 2, 2020 - October 10, 2022

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

October 5, 2016 - November 25, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

SAN FRANCISCO, CA

Past

November 13, 2014 - March 15, 2016

PIPER SANDLER & CO.

CRD#: 665

SAN FRANCISCO, CA

Past

November 9, 2010 - October 24, 2014

WOODSIDE CAPITAL SECURITIES LLC

CRD#: 152603

PALO ALTO, CA

Past

March 24, 2009 - November 12, 2009

RUTBERG & COMPANY, LLC

CRD#: 113392

SAN FRANCISCO, CA

Past

November 3, 2005 - January 11, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

REDWOOD SHORES, CA

Past

October 18, 2005 - January 11, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 18, 2005 - January 11, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

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

California
(6/8/2023)

Exams

State Security Law Exam

Series 63

Date: 12/3/2010

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/2/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 10/15/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 3/23/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FINALIS SECURITIES LLC

DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

228 Park Ave South Suite 85550, New York, NY 10003

Mailing Address

228 Park Ave South Suite 85550, New York, NY 10003

Phone number

(800) 962-0418

Established

Delaware since 09/10/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FINALIS, INC.	HOLDING COMPANY
AZARY, DENNIS MICHAEL	CEO/CCO/FINOP	2384263

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

Jeffrey D. Lamb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey David Lamb's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

PIPER SANDLER & CO.

WOODSIDE CAPITAL SECURITIES LLC

RUTBERG & COMPANY, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/2010

Series 66

Date: 11/2/2005

SIE

Date: 10/1/2018

Series 79

Date: 10/15/2011

Series 7

Date: 3/23/2009

FINRA

Current Firm

FINALIS SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FINALIS SECURITIES LLC

TRUST BUT VERIFY

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