Michael W. 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.
Michael Watson Lamb was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1977. Michael had worked at 5 firms and has passed the Series 63, Series 87, Series 86, Series 7, Series 28, Series 53, Series 4 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
August 28, 1984 - January 26, 2012
WEALTH MONITORS, INC.
January 31, 1980 - August 15, 1984
UBS FINANCIAL SERVICES INC.
May 25, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 26, 1978 - June 25, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 28
Date: 2/13/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
WEALTH MONITORS, INC.
CRD#: 15324 / SEC#: , 8-32004
Contact information
Documents
Direct owners and executive officers
Red Flags
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