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SL

Stephen M. Lambert

INVESTMENT MANAGEMENT & PLANNING
GREENVILLE, DE 19807
Some features on this profile are disabled
CRD#: 8267810
SL
Stephen Maxwell LambertINVESTMENT MANAGEMENT & PLANNING

Professional summary

Stephen Maxwell Lambert, who also goes by Stephen Lambert, Max Lambert, is a registered financial advisor currently at INVESTMENT MANAGEMENT & PLANNING LLC located in Greenville, Delaware and LPL FINANCIAL LLC located in Greenville, Delaware.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2026. Stephen has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

Stephen Lambert | Max Lambert

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Maxwell Lambert's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 30, 2026 - Present

INVESTMENT MANAGEMENT & PLANNING LLC

Office #1: 20 Montchanin Road Suite 270, Greenville, DE 19807
RIA
CRD#: 146041
GREENVILLE, DE
Current

May 18, 2026 - Present

LPL FINANCIAL LLC

Office #1: 20 Montchanin Rd, Ste 270, Greenville, DE 19807
RIA
BD
CRD#: 6413
GREENVILLE, DE

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".
IM
INVESTMENT MANAGEMENT & PLANNING LLC
INVESTMENT MANAGEMENT & PLANNING LLC

CRD#: 146041 / SEC#: 801-107553

RIA
Registered Investment Advisory firm - (4/4/2016 Approved)
Delaware
Registered Investment Advisory firm - (2/27/2017 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

RR
Delaware
(6/1/2026)
IAR
Delaware
(6/30/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/30/2026
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/16/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/1/2025
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

IM
INVESTMENT MANAGEMENT & PLANNING LLC
INVESTMENT MANAGEMENT & PLANNING LLC

CRD#: 146041 / SEC#: 801-107553

RIA
Registered Investment Advisory firm - (4/4/2016 Approved)
Delaware
Registered Investment Advisory firm - (2/27/2017 Terminated)
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Contact information

Main Address
20 Montchanin Road Suite 270, Greenville, DE 19807
Mailing Address
Phone number
(302) 654-5449
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

INVESTMENT MANAGEMENT & PLANNING ADV PART 2A - WRAP BROCHURE (3/7/2025)
INVESTMENT MANAGEMENT & PLANNING - ADV PART 2A (3/7/2025)

Regulatory assets under management

Total Number of Accounts492
AUM (Assets Under Management)$ 205,167,419

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.

Company Information

INVESTMENT MANAGEMENT & PLANNING LLC

CRD#: 146041Greenville, DE 19807

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