Individual Firm
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CHRISTINE LYNN LAMBERT
CHRISTINE LYNN ASBACH, CHRIS LAMBERT, CHRISTINE LAMBERT, CHRISTY LAMBERT
CRD#: 1919326
IA
B
WELLS FARGO ADVISORSCRD#: 11025 9039 ANTARES AVE
STE H2
COLUMBUS, OH 43240
STE H2
COLUMBUS, OH 43240
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11/30/2009
Customer Dispute
Settled
State Registrations
B
Alabama 9/13/2022
B
Ohio 9/1/2022
B
Florida 9/1/2022
IA
Ohio 9/2/2022
B
Indiana 9/13/2022
B
Pennsylvania 9/1/2022
B
Kentucky 9/1/2022
B
Tennessee 7/10/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/2/2022
B
Registered with this firm since 9/1/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/14/2016 - 09/10/2022 | CINCINNATI, OH | |
B | 06/14/2016 - 09/10/2022 | CINCINNATI, OH | |
IA | 11/23/2011 - 06/08/2016 | WEST CHESTER, OH | |
B | 11/14/2011 - 06/08/2016 | WEST CHESTER, OH | |
IA | 11/22/2004 - 11/23/2011 | CINCINNATI, OH | |
B | 06/12/2001 - 11/23/2011 | CINCINNATI, OH | |
B | 07/09/1993 - 06/04/2001 | CHICAGO, IL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.