DL
Dennis C. Lambert
CONCURRENT INVESTMENT ADVISORS
Houston, TX 77007
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CRD#: 710139
DL
Professional summary
Dennis Carl Lambert is a registered financial advisor currently at CONCURRENT INVESTMENT ADVISORS, LLC located in Houston, Texas.
Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Dennis has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 1 and Series 12 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1.CABALLO ROJO RANCH, LLC; PRESIDENT; Private Company; Livestock Advertising and Publication; 01/2003; This company is a LLC that owns a livestock publication and advertising business. The name of the publication is The Brahman Journal. It is a monthly magazine run by my wife. 2.Texas Rangers Association Foundation; Investment related No; Waco, TX; To provide assistance to active and retired Rangers and their families; (proprietor, partner, officer, director, employee, trustee, agent); Activity start 02/2015; During business hours: 0; After business hours: 1; Will be guiding the other Board members when making decisions with regards to investing and money manager selection. 3. 390040 - Executor/Co-Executor (proprietor, partner, officer, director, employee, trustee, agent); Jan 2020; During business hours: 0; After business hours: 2; Estate Administration 4. NAME OF ENTITY: Texas Ranger Association Foundation ADDRESS: 104 Texas Ranger Trail Waco, Texas 76706 INVESTMENT RELATED: No; BUSINESS DESCRIPTION: 501 c (3)CAPACITY: Board of Directors *, Treasurer START DATE: 07/01/15 DUTIES: Serve on the Board Serve on executive committee Serve as head of the finance committee - finance committee (FC) is responsible for preparing the annual budget, overseeing the finances and overseeing the investment portfolio. The investment portfolio is advised and directed by Oppenheimer & Co. The FC meets quarterly to review the performance of the portfolio. HOURS DEVOTED PER MONTH: 2%HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 5. Name: Caballo Rojo Publishing Group, LP Address: 915 12th Street Hempstead, Texas 77445 Business Description: Beef Cattle monthly publication Business is not investment related Projected Start Date: 10/01/02 Capacity: Owner - Passive, Officer Duties Performed: My wife runs the business, as her spouse I am a co-owner Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0 6. Wealth Partners Alliance 8/2024 Independent Contractor 12240 Inwood Road, Ste 200 Dallas, TX 75244 Investment Related Non owner of support company, uses for branding 7. Trust Ark 08/2024 Joint Owner 50% 1512 Center St. Ste 320 Houston, TX 77077 Support Company 8. Shield Trust 08/2024 Owner 1512 Center St. Ste 320 Houston, TX 77077 Support Company 9. Shield Trust Concurrent Holdings Passive Investor 1512 Center St. Ste 320 Houston, TX 77077
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Carl Lambert'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
August 30, 2024 - Present
CONCURRENT INVESTMENT ADVISORS, LLC
Office #1: 1512 Center St Suite 320, Houston, TX 77007RIA
CRD#: 323135
Houston, TX
Past
March 17, 2020 - September 13, 2024
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
HOUSTON, TX
Past
March 13, 2020 - September 13, 2024
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
HOUSTON, TX
Past
June 1, 2009 - March 19, 2020
MORGAN STANLEY
RIA
CRD#: 149777
HOUSTON, TX
Past
June 1, 2009 - March 19, 2020
MORGAN STANLEY
BD
CRD#: 149777
HOUSTON, TX
Past
March 25, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
HOUSTON, TX
Past
March 20, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
HOUSTON, TX
Past
July 3, 2001 - April 2, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
HOUSTON, TX
Past
July 3, 2001 - April 2, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
HOUSTON, TX
Past
March 2, 1998 - July 16, 2001
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
June 3, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
September 4, 1990 - June 3, 1994
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
BD
CRD#: 22540
Past
February 6, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
BD
CRD#: 839
HOUSTON, TX
Past
May 19, 1986 - February 9, 1988
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
June 19, 1980 - May 12, 1986
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
CI
CONCURRENT INVESTMENT ADVISORS, LLC
44 MANAGEMENT | WINE COUNTRY WEALTH | WEALTH PARTNERS ALLIANCE | VENN WEALTH MANAGEMENT | VALENTA CAPITAL MANAGEMENT | TIDWELL-PREMOCK-BASILONE PRIVATE WEALTH MANAGEMENT | THE WEALTH STEWARDS | THE HAMILTON GROUP | TAILORMADE WEALTH COUNSEL | T7 LEGACY | STAMPER WEALTH & RETIREMENT GROUP | SPHINX ADVISORY GROUP | SPECTRUM WEALTH PARTNERS | SAUER WEALTH MANAGEMENT | PRICE FINANCIAL MANAGEMENT | OLD TOWN ADVISORS | NEXT RETIREMENT SOLUTIONS | MAVERICK WEALTH ADVISORS | MATT WIGREN & LAURA CHRISTOFFERSON | LUMATURE WEALTH PARTNERS | LINDAMOOD FINANCIAL GROUP | LEGACY PRIVATE WEALTH PARTNERS | LAURUS FINANCIAL GROUP | KEATON AND SAMS WEALTH MANAGEMENT | INSIGHT PRIVATE WEALTH | HUDSON WEALTH MANAGEMENT | HEARTLAND WEALTH MANAGEMENT | HEAD RETIREMENT & WEALTH STRATEGIES | HARRIMAN HALL WEALTH | GRH WEALTH MANAGEMENT | GREAT BASIN ASSET MANAGEMENT | FIG GARDEN WEALTH MANAGEMENT | FAMILY WEALTH SOLUTIONS | ENGLESTAD WEALTH ADVISORS | ELEVATE FAMILY PARTNERS | EAGLE CAPITAL | DAS WEALTH MANAGEMENT GROUP | DANIELSON TATE CAPITAL PARTNERS | CROWNMARK WEALTH ADVISORS | COX, KLUGH AND CO. | CORNERSTONE PRIVATE WEALTH PARTNERS | CONCURRENT RETIREMENT SOLUTIONS | CONCURRENT PRIVATE WEALTH | CONCURRENT INVESTMENT ADVISORS, LLC | CONCURRENT CORPORATE SOLUTIONS | CONCURRENT ADVISORS, LLC | CONCURRENT ADVISORS | COLUMBIA ASSOCIATES WEALTH MANAGEMENT GROUP | COLUMBIA ASSOCIATES | CILIBERTI & ASSOCIATES | CHIEF INVESTMENT OFFICE | CENTER STREET WEALTH MANAGEMENT | CANOPY ASSET MANAGEMENT | BRICK HOUSE WEALTH STRATEGIES | BMR RETIREMENT | AVENUES TO WEALTH FINANCIAL ADVISORS | ARKY MILLER FINANCIAL GROUP | ALLEGIANT WEALTH PARTNERS | ALDEN CAPITAL MANAGEMENT | ADELE FINANCIAL LLC | ADALAN PRIVATE WEALTH
CRD#: 323135 / SEC#: 801-126555
RIA
Registered Investment Advisory firm - (9/8/2022 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.Highlighted states indicate IAR registrations
IAR
Texas(8/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/12/1980
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 12
Date: 6/20/1981
NYSE Branch Manager ExaminationCurrent Firm
CI
CONCURRENT INVESTMENT ADVISORS, LLC
44 MANAGEMENT | WINE COUNTRY WEALTH | WEALTH PARTNERS ALLIANCE | VENN WEALTH MANAGEMENT | VALENTA CAPITAL MANAGEMENT | TIDWELL-PREMOCK-BASILONE PRIVATE WEALTH MANAGEMENT | THE WEALTH STEWARDS | THE HAMILTON GROUP | TAILORMADE WEALTH COUNSEL | T7 LEGACY | STAMPER WEALTH & RETIREMENT GROUP | SPHINX ADVISORY GROUP | SPECTRUM WEALTH PARTNERS | SAUER WEALTH MANAGEMENT | PRICE FINANCIAL MANAGEMENT | OLD TOWN ADVISORS | NEXT RETIREMENT SOLUTIONS | MAVERICK WEALTH ADVISORS | MATT WIGREN & LAURA CHRISTOFFERSON | LUMATURE WEALTH PARTNERS | LINDAMOOD FINANCIAL GROUP | LEGACY PRIVATE WEALTH PARTNERS | LAURUS FINANCIAL GROUP | KEATON AND SAMS WEALTH MANAGEMENT | INSIGHT PRIVATE WEALTH | HUDSON WEALTH MANAGEMENT | HEARTLAND WEALTH MANAGEMENT | HEAD RETIREMENT & WEALTH STRATEGIES | HARRIMAN HALL WEALTH | GRH WEALTH MANAGEMENT | GREAT BASIN ASSET MANAGEMENT | FIG GARDEN WEALTH MANAGEMENT | FAMILY WEALTH SOLUTIONS | ENGLESTAD WEALTH ADVISORS | ELEVATE FAMILY PARTNERS | EAGLE CAPITAL | DAS WEALTH MANAGEMENT GROUP | DANIELSON TATE CAPITAL PARTNERS | CROWNMARK WEALTH ADVISORS | COX, KLUGH AND CO. | CORNERSTONE PRIVATE WEALTH PARTNERS | CONCURRENT RETIREMENT SOLUTIONS | CONCURRENT PRIVATE WEALTH | CONCURRENT INVESTMENT ADVISORS, LLC | CONCURRENT CORPORATE SOLUTIONS | CONCURRENT ADVISORS, LLC | CONCURRENT ADVISORS | COLUMBIA ASSOCIATES WEALTH MANAGEMENT GROUP | COLUMBIA ASSOCIATES | CILIBERTI & ASSOCIATES | CHIEF INVESTMENT OFFICE | CENTER STREET WEALTH MANAGEMENT | CANOPY ASSET MANAGEMENT | BRICK HOUSE WEALTH STRATEGIES | BMR RETIREMENT | AVENUES TO WEALTH FINANCIAL ADVISORS | ARKY MILLER FINANCIAL GROUP | ALLEGIANT WEALTH PARTNERS | ALDEN CAPITAL MANAGEMENT | ADELE FINANCIAL LLC | ADALAN PRIVATE WEALTH
CRD#: 323135 / SEC#: 801-126555
RIA
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Contact information
Main Address
100 S. Ashley Drive Suite 830, Tampa, FL 33602
Mailing Address
Phone number
(813) 709-8800
Established
Firm type
Fiscal year end
# of Employees
188
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,278 |
| AUM (Assets Under Management) | $ 9,901,639,186 |
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.
