William J. Lamb

CAVANAL HILL INVESTMENT MANAGEMENT

TULSA, OK 74172

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CRD#: 5145968

Professional summary

William James Lamb, who also goes by William Lamb, is a registered financial advisor currently at CAVANAL HILL INVESTMENT MANAGEMENT, INC. located in Tulsa, Oklahoma and CAVANAL HILL DISTRIBUTORS, INC, located in Tulsa, Oklahoma.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. William has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William 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) - RIA

Click below to view William James 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 1, 2021 - Present

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

Office #1: One Williams Center 15th Floor, Tulsa, OK 74172

RIA

CRD#: 110774

TULSA, OK

Current

June 2, 2021 - Present

CAVANAL HILL DISTRIBUTORS, INC,

Office #1: One Williams Center 15th Floor, Tulsa, OK, 74172

CRD#: 175445

Tulsa, OK

Past

May 23, 2017 - May 19, 2021

CHARTWELL INVESTMENT PARTNERS, LLC

RIA

CRD#: 170335

Pittsburgh, PA

Past

March 7, 2017 - May 19, 2021

CHARTWELL TSC SECURITIES CORP.

CRD#: 172196

Pittsburgh, PA

Past

September 21, 2015 - September 20, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

PITTSBURGH, PA

Past

September 21, 2015 - September 20, 2016

LPL FINANCIAL LLC

CRD#: 6413

PITTSBURGH, PA

Past

December 11, 2014 - September 28, 2015

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

WEXFORD, PA

Past

December 11, 2014 - September 28, 2015

FIFTH THIRD SECURITIES, INC.

CRD#: 628

WEXFORD, PA

Past

March 19, 2013 - August 4, 2014

EDWARD JONES

RIA

CRD#: 250

ALLISON PARK, PA

Past

January 4, 2013 - August 4, 2014

EDWARD JONES

CRD#: 250

ALLISON PARK, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

AXIA INVESTMENT MANAGEMENT, INC. | INVESTMENT CONCEPTS, INC. | CAVANAL HILL INVESTMENT MANAGEMENT, INC. | BOK INVESTMENT ADVISERS, INC. | AXIA INVESTMENT MANAGMENT, INC.

CRD#: 110774 / SEC#: 801-60138

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

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.

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

Indiana
(6/2/2021)

IAR

Indiana
(6/3/2021)

Kentucky
(6/2/2021)

IAR

Kentucky
(6/4/2021)

Michigan
(6/2/2021)

IAR

Michigan
(6/7/2021)

Ohio
(6/2/2021)

IAR

Ohio
(6/3/2021)

Oklahoma
(6/2/2021)

IAR

Oklahoma
(6/2/2021)

IAR

Pennsylvania
(6/1/2021)

Pennsylvania
(6/2/2021)

West Virginia
(6/2/2021)

IAR

West Virginia
(6/22/2021)

Wisconsin
(1/4/2022)

IAR

Wisconsin
(1/4/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/18/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

AXIA INVESTMENT MANAGEMENT, INC. | INVESTMENT CONCEPTS, INC. | CAVANAL HILL INVESTMENT MANAGEMENT, INC. | BOK INVESTMENT ADVISERS, INC. | AXIA INVESTMENT MANAGMENT, INC.

CRD#: 110774 / SEC#: 801-60138

RIA

Registered Investment Advisory firm - (4/19/2001 Approved)

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Contact information

Main Address

One Williams Center 15th Floor, Tulsa, OK 74172-0172

Mailing Address

6242 E. 41st St. So, Tulsa, OK 74135

Phone number

(800) 958-2942

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAVANAL HILL INVESTMENT MANAGEMENT, INC. FORM ADV PART 2A MARCH 2026 (3/17/2026)

Regulatory assets under management

Total Number of Accounts	2,175
AUM (Assets Under Management)	$ 15,233,547,787

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2025	Cover Page	Report
12/18/2024	Cover Page	Report
08/25/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

William J. Lamb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William James Lamb's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAVANAL HILL DISTRIBUTORS, INC,

CHARTWELL INVESTMENT PARTNERS, LLC

CHARTWELL TSC SECURITIES CORP.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/18/2013

SIE

Date: 10/1/2018

Series 7

Date: 1/3/2013

FINRA

Current Firm

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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