Dennis Carl Lambert

Current Employers

Employment History

• 03/2009 → 03/2020
  Morgan Stanley & Co Inc
  Houston, TX
• 06/2009 → 03/2020
  Morgan Stanley Smith Barney
  Houston, TX
• 03/2020 → 08/2024
  Rbc Capital Markets, Llc
  Houston, TX
• 01/2015 → 03/2020
  Morgan Stanley Private Bank, N.A
  New York, NY
• 08/2024 → Present
  Concurrent Investment Advisors, Llc
  Tampa, FL
• 08/2024 → Present
  Purshe Kaplan Sterling
  Albany, NY

Previous Registrations

• 2020-03-17 → 2024-09-13
  Rbc Capital Markets, Llc
  Houston, TX
  Houston, TX
  Hempstead, TX
• 2009-06-01 → 2020-03-19
  Morgan Stanley
  Houston, TX
• 2009-03-25 → 2009-06-01
  Morgan Stanley & Co. Llc
  Houston, TX
• 2001-07-03 → 2009-04-02
  Ubs Financial Services Inc.
  Houston, TX
  Houston, TX

Other Businesses

1.CABALLO ROJO RANCH, LLC; PRESIDENT; Private Company; Livestock Advertising and Publication; 01/2003; This company is a LLC that owns a livestock publication and advertising business. The name of the publication is The Brahman Journal. It is a monthly magazine run by my wife. 2.Texas Rangers Association Foundation; Investment related No; Waco, TX; To provide assistance to active and retired Rangers and their families; (proprietor, partner, officer, director, employee, trustee, agent); Activity start 02/2015; During business hours: 0; After business hours: 1; Will be guiding the other Board members when making decisions with regards to investing and money manager selection. 3. 390040 - Executor/Co-Executor (proprietor, partner, officer, director, employee, trustee, agent); Jan 2020; During business hours: 0; After business hours: 2; Estate Administration 4. NAME OF ENTITY: Texas Ranger Association Foundation ADDRESS: 104 Texas Ranger Trail Waco, Texas 76706 INVESTMENT RELATED: No; BUSINESS DESCRIPTION: 501 c (3)CAPACITY: Board of Directors *, Treasurer START DATE: 07/01/15 DUTIES: Serve on the Board Serve on executive committee Serve as head of the finance committee - finance committee (FC) is responsible for preparing the annual budget, overseeing the finances and overseeing the investment portfolio. The investment portfolio is advised and directed by Oppenheimer & Co. The FC meets quarterly to review the performance of the portfolio. HOURS DEVOTED PER MONTH: 2%HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 5. Name: Caballo Rojo Publishing Group, LP Address: 915 12th Street Hempstead, Texas 77445 Business Description: Beef Cattle monthly publication Business is not investment related Projected Start Date: 10/01/02 Capacity: Owner - Passive, Officer Duties Performed: My wife runs the business, as her spouse I am a co-owner Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0 6. Wealth Partners Alliance 8/2024 Independent Contractor 12240 Inwood Road, Ste 200 Dallas, TX 75244 Investment Related Non owner of support company, uses for branding 7. Trust Ark 08/2024 Joint Owner 50% 1512 Center St. Ste 320 Houston, TX 77077 Support Company 8. Shield Trust 08/2024 Owner 1512 Center St. Ste 320 Houston, TX 77077 Support Company 9. Shield Trust Concurrent Holdings Passive Investor 1512 Center St. Ste 320 Houston, TX 77077

Exams

• S66 Uniform Combined State Law Examination
  2000-11-08
• S63 Uniform Securities Agent State Law Examination
  1982-02-19