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Information

Other Names: William Stephens Lamb Jr.
Firm:
Additional Firm:
Type: Dual Registration
Description

William Lamb is a financial professional at Sterne Agee Investment Advisors, Inc., a $2B RIA based in Birmingham, AL. William is also registered with Sterne, Agee & Leach, Inc., a broker-dealer with 749 registered representatives nationwide. William has held an industry securities registration for 6 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

William Stephens Lamb has not answered any questions on Financial Q&A.

Top Guides

William Stephens Lamb has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Other Pooled Investment Vehicles
Corporations or Other Businesses
State or Municipal Government Entities
Other Investment Advisors

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Sterne Agee 8 months, 3 weeks Aug 2013 - Present
Suntrust Bank 4 years, 1 month Jul 2009 - Aug 2013
Suntrust Investment Services, Inc. 11 years, 9 months Nov 2001 - Aug 2013
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 09/30/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
09/30/2013
11/06/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 04/30/2007
Uniform Securities Agent State Law Examination Series 63 09/27/2001
General Securities Representative Examination Series 7 05/01/2001

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees