Steven James Lambert

Current Employers

Employment History

• 04/2012 → 06/2023
  Lpl Financial, Llc
  Novato, CA
• 06/2013 → Present
  Slr Asset Management
  Novato, CA

Previous Registrations

• 2019-01-16 → 2023-12-09
  Slr Financial
  Santa Rosa, CA
• 2013-08-08 → 2018-12-31
  Slr Financial
  Santa Rosa, CA
• 2012-04-13 → 2015-10-28
  Lpl Financial Llc
  Novato, CA
  Santa Rosa, CA
  San Diego, CA
  Novato, CA
  Santa Rosa, CA
  Petaluma, CA
  Santa Rosa, CA
  Santa Rosa, CA
  Ukiah, CA
  Santa Rosa, CA
• 2009-05-02 → 2012-04-17
  Chase Investment Services Corp.
  Santa Rosa, CA
  Santa Rosa, CA
  Rohnert Park, CA
  Santa Rosa, CA
  Petaluma, CA
  Sebastopol, CA
  Petaluma, CA
  Petaluma, CA
  Petaluma, CA
  Santa Rosa, CA
  Santa Rosa, CA
  Santa Rosa, CA
• 2007-11-02 → 2009-05-02
  Wamu Investments, Inc.
  Santa Rosa, CA
  Rohnert Park, CA
  Oakland, CA
  Santa Rosa, CA
  Santa Rosa, CA
• 2007-03-16 → 2007-10-30
  Investors Capital Corp.
  Tulsa, OK
  Santa Rosa, CA
• 2005-07-07 → 2005-08-31
  Wells Fargo Investments, Llc
  Novato, CA

Other Businesses

1. 4/20/2016: SLR Financial, Inc. - DBA: SLR Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 08/26/2015 - 40 Hours Per Month During Securities Trading - Fee for Service and Financial Plans will be offered. 2. 5/2/2016: SLR Asset Management - DBA: SLR Financial, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 08/26/2015 - 40 Hours Per Month During Securities Trading - Fee for Service and Financial Plans will be offered. 3. 5/18/2016: SLR Asset Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 08/26/2015 - 80 Hours Per Month During Securities Trading. 4. 5/18/2016: SLR Asset Management - DBA: SLR Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 03/10/2016 - 40 Hours Per Month During Securities Trading - IAR. 5. 02/13/2023 - Door Dash - Not Investment Related - Sonoma County - Outside/W-2 Employment - Part time delivery driver - Start Date: 09/07/2022 - 20 Hours Per month/0 Hours During Securities Trading. 6. 02/13/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Accounting - Start Date: 01/03/2022 - 3 Hours Per month/0 Hours During Securities Trading. 7. 04/10/2026 - SLR Asset Management - DBA: SLR Advisors - Investment Related - At Reported Business Location(s) - Licensed Insurance Agent (license #0D29201) - Start Date: 05/04/2001 - 0 hours Per month/0 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-07-06
• S63 Uniform Securities Agent State Law Examination
  2003-07-02

Other Names

• Steve Lambert