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Nicholas S. Lamb
SAGEVIEW ADVISORY GROUP
Chicago, IL 60606-3840
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CRD#: 6643103
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Professional summary
Nicholas Stephen Lamb, who also goes by Nicholas S Lamb, is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Chicago, Illinois and CETERA INVESTMENT ADVISERS LLC located in Chicago, Illinois.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Nicholas has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas S 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.
1. NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY GROUP, LLC CRD #126777 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 09/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FIANNCIAL PLANNING AND ASSET MANAGEMENT 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 01/2016 APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND FIXED ANNUITIES; 3. NAME OF OTHER BUSINESS: L&H REALTY DEVELOPMENT LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: REAL ESTATE, START DATE:01/2015, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 1, NIT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: HOLD INVESTMENT PROPERTIES;
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Stephen 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®
NoneExperience
Current
October 8, 2018 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 10 S. Riverside Plaza Suite 1400, Chicago, IL 60606-3840RIA
CRD#: 126777
Chicago, IL
Current
March 22, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10 S. Riverside Plaza Suite 875, Chicago, IL 60606RIA
CRD#: 105644
Chicago, IL
Current
March 14, 2024 - Present
CETERA ADVISORS LLC
Office #1: 10 S. Riverside Plaza Suite 875, Chicago, IL 60606BD
CRD#: 10299
Chicago, IL
Past
March 15, 2024 - March 22, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
Chicago, IL
Past
October 24, 2018 - February 7, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CHICAGO, IL
Past
July 25, 2016 - October 11, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHICAGO, IL
Past
June 15, 2016 - October 11, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)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
IAR
California(7/10/2024)
RR
Colorado(8/6/2024)
IAR
Florida(8/26/2025)
IAR
Illinois(10/8/2018)
RR
Illinois(3/15/2024)
RR
Michigan(3/14/2024)
IAR
Missouri(6/16/2025)
RR
Ohio(8/9/2024)
IAR
Wisconsin(6/19/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
