Ronald L. Lambert
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.
Ronald Lee Lambert, who also goes by Ron Lambert, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1974. Ronald had worked at 12 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2003 - December 31, 2003
REGIS SECURITIES CORPORATION
December 20, 2002 - April 1, 2003
CROWN CAPITAL SECURITIES, L.P.
December 23, 1999 - December 16, 2002
ALBANY SECURITIES, LLC.
April 16, 1997 - December 31, 1997
LEGACY FINANCIAL SERVICES, INC.
March 29, 1993 - June 14, 1996
PRUCO SECURITIES, LLC.
September 5, 1991 - February 24, 1993
EQUITY SERVICES, INC.
August 1, 1991 - September 3, 1991
CETERA WEALTH SERVICES, LLC
March 2, 1990 - May 3, 1991
CETERA WEALTH SERVICES, LLC
December 16, 1986 - January 1, 1990
EQUITY ANALYSTS INC.
February 3, 1986 - November 14, 1986
USLIFE EQUITY SALES CORP.
December 28, 1981 - February 13, 1984
LINCOLN NATIONAL PENSION INSURANCE COMPANY
May 25, 1979 - February 13, 1984
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 2, 1974 - July 28, 1979
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
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: 11/16/1974
Registered Representative ExaminationCurrent Firm
REGIS SECURITIES CORPORATION
CRD#: 103711 / SEC#: , 8-52200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARGIN, ROBERT KENNETH | PRESIDENT, CEO, CROP | 1825995 |
| VARGO, NANCY ARNETT | CFO, CCO |
Disclosures
| Regulatory Event | 1 |
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.
