William James Lamb

Current Employers

Cavanal Hill Investment Management, Inc.

One Williams Center 15Th Floor, Tulsa, OK 74172-0172 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2022-01-04
WV	RA	APPROVED	2021-06-22
MI	RA	APPROVED	2021-06-07
KY	RA	APPROVED	2021-06-04
IN	RA	APPROVED	2021-06-03
OH	RA	APPROVED	2021-06-03
OK	RA	APPROVED	2021-06-02
PA	RA	APPROVED	2021-06-01

WI RA
APPROVED

Since 2022-01-04
WV RA
APPROVED

Since 2021-06-22
MI RA
APPROVED

Since 2021-06-07
KY RA
APPROVED

Since 2021-06-04
IN RA
APPROVED

Since 2021-06-03
OH RA
APPROVED

Since 2021-06-03
OK RA
APPROVED

Since 2021-06-02
PA RA
APPROVED

Since 2021-06-01

Branch Locations

One Williams Center 15Th Floor, Tulsa, OK 74172 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial	Allison Park	PA	08/2015	09/2016
First Niagara Bank	Allison Park	PA	09/2015	09/2016
Tristate Capital Bank	Pittsburgh	PA	09/2016	05/2021
Chartwell Tsc Securities Corp.	Pittsburgh	PA	09/2016	05/2021
Cavanal Hill Investment Management, Inc	Tulsa	OK	05/2021	Present
Cavanal Hill Distributors, Inc.	Allison Park	PA	06/2021	Present

08/2015 → 09/2016

Lpl Financial

Allison Park, PA
09/2015 → 09/2016

First Niagara Bank

Allison Park, PA
09/2016 → 05/2021

Tristate Capital Bank

Pittsburgh, PA
09/2016 → 05/2021

Chartwell Tsc Securities Corp.

Pittsburgh, PA
05/2021 → Present

Cavanal Hill Investment Management, Inc

Tulsa, OK
06/2021 → Present

Cavanal Hill Distributors, Inc.

Allison Park, PA

Previous Registrations

2017-05-23 → 2021-05-19

Chartwell Investment Partners, Llc

Pittsburgh, PA

Berwyn, PA
2015-09-21 → 2016-09-20

Lpl Financial Llc

Allison Park, PA

Pittsburgh, PA
2014-12-11 → 2015-09-28

Fifth Third Securities, Inc.

Wexford, PA
2013-03-19 → 2014-08-04

Edward Jones

Allison Park, PA

St Louis, MO

Other Businesses

Name: BOK Financial Address: One Williams Center, 15th Floor, Tulsa OK 74172 Inv rel: Y Start: 05/2021 Position: VP, external Wholesaler Nature of OBA: Financial Institution Hrs/mo: less than 2 Hrs/mo trade: less than 2 Description of duties: Maintains the requisite title of Vice President with BOK Financial, the parent company of Cavanal Hill Distributors. On occasion may receive some compensation for business referrals to BOK Financial affiliates. Generally accounts for less than 5% of total compensation and time in any given year.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-01-18

S66 Uniform Combined State Law Examination

2013-01-18

Other Names

William Lamb

View on SEC IAPD