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William Stephens Lamb

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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 744 registered representatives nationwide. William has held an industry securities registration for 6 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Sterne Agee 11 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
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 04/30/2007
Uniform Securities Agent State Law ExaminationSeries 63 09/27/2001
General Securities Representative ExaminationSeries 7 05/01/2001

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.

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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees