Joseph N. Lambert
Professional summary
Joseph Neil Lambert, who also goes by Joe Lambert, is a registered financial advisor currently at LAMBERT CAPITAL MANAGEMENT located in Solvang, California.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Joseph has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Neil Lambert's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2019 - Present
LAMBERT CAPITAL MANAGEMENT
Office #1: Po Box 6, Solvang, CA 93464July 21, 2014 - October 20, 2014
SYNDICATED CAPITAL, INC.
August 23, 2004 - April 9, 2012
SYNDICATED CAPITAL, INC.
May 21, 1997 - October 23, 2002
TRADEWAY SECURITIES GROUP, INC.
March 17, 1994 - January 3, 1996
JDL SECURITIES CORPORATION
July 16, 1990 - March 29, 1994
INTERCAL SECURITIES CO.
August 23, 1985 - July 9, 1990
SANTA BARBARA SECURITIES, INC.
May 1, 1979 - August 30, 1985
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/23/2019)
Exams
Series 15
Date: 2/10/1986
Foreign Currency Options ExaminationSeries 5
Date: 2/9/1982
Interest Rate Options ExaminationCurrent Firm
LAMBERT CAPITAL MANAGEMENT
CRD#: 127822 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 4,265,442 |
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.
