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William Stephens Lamb

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Information

Firm:
Type: SEC and FINRA Registered
Description

William Lamb is a financial professional at Raymond James & Associates, Inc., a broker-dealer with over 5,600 registered representatives nationwide. William has held an industry securities registration for 12 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Raymond James & Assoicates 2 months, 4 weeks Jun 2015 - Present
Sterne Agee 1 year, 10 months Aug 2013 - Jun 2015
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 Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*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
07/02/2015
07/13/2015
*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

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions