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BL

Brian P. Lamb

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CRD#: 5011849
BL

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.

Brian Patrick Lamb, who also goes by Brian Lamb, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2005. Brian had worked at 2 firms and has passed the SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brian 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 19, 2016 - January 16, 2025

AUTOMATED EQUITY FINANCE MARKETS, INC.

BD
CRD#: 147941
New York, NY
Past

December 9, 2005 - January 16, 2025

EQUILEND

BD
CRD#: 119107
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/12/2005
General Securities Principal Examination

Current Firm

AE
AUTOMATED EQUITY FINANCE MARKETS, INC.
AUTOMATED EQUITY FINANCE MARKETS, INC. | EQUILEND CLEARING SERVICES (ECS)

CRD#: 147941 / SEC#: , 8-67941

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

Main Address
225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281
Mailing Address
225 Liberty Street 43rd Floor, Suite 4310, New York, NY 10281
Phone number
(212) 901-2272
Established
Delaware since 05/21/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EQUILEND CLEARING LLCDIRECT PARENT COMPANY
NIGRELLI, PAUL JOACHIMCHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER, FINOP4572522
WACHTER, KAZUKOGENERAL COUNSEL7218349

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

AUTOMATED EQUITY FINANCE MARKETS, INC.

CRD#: 147941

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