Clyde C. Lamb
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.
Clyde Chester Lamb JR was a registered financial professional .
Clyde is a previously registered financial professional and started their career in finance in 1971. Clyde had worked at 2 firms and has passed the Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 1974 - October 31, 1979
LAMB BROTHERS, INC.
August 16, 1971 - June 29, 1973
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 5/10/1960
Registered Representative ExaminationF04
Date: 3/26/1974
Financial Principal ExaminationSeries 00
Date: 3/22/1974
General Securities Principal ExaminationCurrent firm
No current employment
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.
