Carolyn LambertCRD Number: 1349696
Current Firm: H.d. Vest Advisory Services, Inc.
Carolyn Lambert (CRD# 1349696) is an Investment Advisor Representative working at H.d. Vest Advisory Services, Inc. in Tazewell, TN and has over 18 years of experience in the finance industry.
Creative Financial Designs, Inc.
Signator Investors, Inc.
Wells Fargo Advisors, LLC
|Lambert Bookkeeping & Financial Service||Tazewell, TN||Jan 2006 - Current||12|
|H.d. Vest Advisory Services||Tazewell, TN||Mar 2004 - Current||13|
|H.d. Vest Investment Services||Tazewell, TN||Apr 1999 - Current||18|
|Lambert Bookkeeping + Computer Services||Tazewell, TN||Oct 1993 - Current||24|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1999|
|S65||NASAA Investment Advisors Law Examination||Nov 1999|
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 Management9,187MILLIONS
Total Number of Accounts50,531ACCOUNTS
Average Account Value$181,805
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
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, VT, WA, WI, WV