Mark Warren Lamb

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2008 → 08/2017
  Financial West Group
  Westlake Village, CA
• 08/2017 → 06/2024
  Western International Securities Inc.
  Pasadena, CA
• 06/2024 → Present
  Lpl Financial Llc
  Campbell, CA

Previous Registrations

• 2017-09-21 → 2024-06-17
  Western International Securities, Inc.
  Redwood City, CA
  Newport Beach, CA
  Campbell, CA
• 2008-06-27 → 2017-08-30
  Financial West Group
  San Francisco, CA
  Redwood City, CA
  Los Angeles, CA
• 2002-05-14 → 2002-06-19
  Rbc Capital Markets, Llc
  San Francisco, CA

Other Businesses

1) 06/07/2024 - Lamb Wealth Management - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 100% Time spent.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-11-19
• S63 Uniform Securities Agent State Law Examination
  1985-12-06

Other Names

• Mark W. Lamb