Individual Firm
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SEAN THOMAS LAMB
CRD#: 3201193
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BEACON POINTE ADVISORS, LLCCRD#: 119290 Fort Lauderdale, FL
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8/18/2002
Criminal
Final Disposition
State Registrations
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Florida 12/21/2021
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Registered with this firm since 12/21/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/22/2021 - 11/18/2021 | Fort Lauderdale, FL | |
IA | 03/26/2014 - 05/03/2021 | FORT LAUDERDALE, FL | |
IA | 08/06/2009 - 03/28/2014 | BOCA RATON, FL | |
IA | 02/27/2003 - 07/23/2009 | BOCA RATON, FL | |
IA | 05/02/2002 - 08/30/2002 | SOMERSET, NJ |
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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.
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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.
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