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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Lamb is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has been in the financial services industry since 1984. Stephen's experience includes working with Morgan Stanley & Co. Incorporated, Morgan Stanley Smith Barney, and Morgan Stanley Private Bank, National Association. Stephen has a broad range of experience serving a variety of clients including high net worth individuals, corporations, pension plans and charitable organizations. Stephen is a Registered Representative and Investment Advisor Representative in Arkansas, Montana and Texas.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
03/14/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
06/01/2009 - 04/07/2016
MORGAN STANLEY (HOUSTON TX)
TX
02/15/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (HOUSTON TX)
TX
08/22/1984 - 02/22/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SUGARLAND TX)
IA
Issued 07/24/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/27/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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