Carla Lamb
STIFEL, NICOLAUS & COMPANY
Cookeville, TN 38501
Some features on this profile are disabled
CRD#: 5253980
Professional summary
Carla Lamb, AIF®, CFP®, who also goes by Carla Rene' Bull, Carla Rene Palmer, Carla Rene' Palmer, Carla Palmer, Carla Rene' Vaughn, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Cookeville, Tennessee.
Carla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Carla has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carla Rene' Bull | Carla Rene Palmer | Carla Rene' Palmer | Carla Palmer | Carla Rene' Vaughn
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. Notary; 4327 Coal Bank Rd, Sparta, TN 38583; Notary; 01/01/2006; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 2. Crafty Lamb; 4327 Coal Bank Rd, Sparta, TN 38583; Hobby making craft, cups, jewelry, shirts; Sole Owner/Crafter; Make and sell items; 10/20/2021; 1 Hour per Day; Not During Securities Trading Hours; Not Investment-Related. 3. BonDeCroft Elementary PTO; 8095 Bockman Way, Sparta, TN 38583; parent teacher organization for elementary school. They raise funds for school improvement and student teacher appreciation.; PTO Officer; take photographs as part of events, help set up fundraisers for the school, vote on pto fund expenditures for school improvement, provide teacher appreciation meals during parent teacher conferences; 05/18/2023; 2 Hours per Day; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Carla Lamb's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carla Lamb's 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®
CFP®
Start date: 2020
Experience
Current
March 3, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1420 Neal Street Suite 203, Cookeville, TN 38501RIA
BD
CRD#: 793
Cookeville, TN
Current
March 3, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1420 Neal Street Suite 203, Cookeville, TN 38501RIA
BD
CRD#: 793
Cookeville, TN
Past
November 21, 2013 - March 11, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
COOKEVILLE, TN
Past
November 21, 2013 - March 11, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
COOKEVILLE, TN
Past
December 18, 2012 - October 24, 2013
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
KNOXVILLE, TN
Past
December 17, 2012 - October 24, 2013
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
KNOXVILLE, TN
Past
November 2, 2011 - December 17, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
FRANKLLIN, TN
Past
November 1, 2011 - December 17, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
FRANKLIN, TN
Past
November 26, 2008 - October 25, 2011
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
BLUFFTON, SC
Past
November 21, 2008 - October 25, 2011
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
BLUFFTON, SC
Past
June 18, 2008 - November 24, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HILTON HEAD, SC
Past
March 18, 2008 - November 24, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HILTON HEAD, SC
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Alabama(5/19/2020)
RR
Alaska(3/28/2022)
RR
Arizona(5/19/2020)
RR
Arkansas(5/19/2020)
RR
California(5/19/2020)
RR
Colorado(8/2/2022)
RR
Connecticut(9/25/2020)
RR
Florida(5/19/2020)
RR
Georgia(5/19/2020)
RR
Indiana(5/19/2020)
RR
Iowa(5/19/2020)
RR
Kentucky(5/19/2020)
RR
Maryland(8/22/2023)
RR
Michigan(5/19/2020)
RR
Minnesota(5/19/2020)
RR
Mississippi(5/19/2020)
RR
Missouri(5/19/2020)
RR
Montana(5/4/2023)
RR
New Jersey(4/10/2024)
RR
New York(5/19/2020)
RR
North Carolina(5/19/2020)
RR
Ohio(5/19/2020)
RR
Oregon(5/19/2020)
RR
South Carolina(5/19/2020)
RR
Tennessee(3/3/2016)
IAR
Tennessee(3/3/2016)
RR
Texas(5/19/2020)
IAR
Texas(5/21/2020)
RR
Vermont(5/19/2020)
RR
Virginia(5/19/2020)
RR
West Virginia(5/19/2020)
RR
Wisconsin(8/30/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
