Seth LampmanCRD Number: 5447712
Current Firm: Sagepoint Financial, Inc.
Seth Lampman (CRD# 5447712) is an Investment Advisor Representative working at Sagepoint Financial, Inc. in Indianola, IA and has over 8 years of experience in the finance industry.
Iron Horse Wealth Management, LLC
Cliftonlarsonallen Wealth Advisors, LLC
Lpl Financial LLC
|Sagepoint Financial||Indianola, IA||Sep 2014 - Current||2|
|Edward Jones||St Louis, MO||Sep 2008 - Sep 2014||6|
|Edward Jones||Indianola, IA||Aug 2007 - Sep 2008||1|
|Indianola Child Care||Indianola, IA||Feb 2006 - May 2008||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Dec 2008|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Regulatory Event
Total Assets Under Management4,385MILLIONS
Total Number of Accounts23,011ACCOUNTS
Average Account Value$190,540
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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