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ML

Michael J. Lambe

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CRD#: 5183331
ML

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.

Michael John Lambe was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

December 15, 2011 - July 17, 2014

GRIDLEY & COMPANY LLC

BD
CRD#: 115706
NEW YORK, NY
Past

August 3, 2010 - February 17, 2011

THE HUTCHISON COMPANY

BD
CRD#: 149422
DURHAM, NC
Past

August 2, 2006 - August 11, 2009

HARRIS WILLIAMS

BD
CRD#: 113930
RICHMOND, VA

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

State Security Law Exam
RR
Series 63
Date: 8/4/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/1/2006
General Securities Representative Examination

Current Firm

G&
GRIDLEY & COMPANY LLC
GRIDLEY & COMPANY LLC

CRD#: 115706 / SEC#: , 8-53497

BD
Terminated by SEC on 11/30/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/18/2001
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GRIDLEY HOLDINGS LLCMEMBER
CALIMANO, FRANK VINCENTFIN OP840807
GRIDLEY, LINDA BORNHUETTERPRESIDENT/CEO1583887
GRIDLEY, LINDA BORNHUETTERCCO1583887

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

GRIDLEY & COMPANY LLC

CRD#: 115706

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