Stephen Lambert has been an investment adviser representative at Investment Management & Planning since June 2026, and is not listed among the firm’s executive officers or direct owners.
Investment Management & Planning LLC is a Greenville, DE firm with $239M under management, 511 clients and 3 advisers across 2 offices, as of its March 2026 filing.
- – present · under a yearAdviser representative · Firm CRD 146041
Investment adviser representative registrations
Stephen Lambert is registered as an investment adviser representative in Delaware, since June 2026.
- DelawareSince 30 June 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 30 May 2026 |
| Series 7TO | General Securities Representative Examination | 16 May 2026 |
| SIE | Securities Industry Essentials Examination | 1 November 2025 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Stephen Maxwell Lambert
- CRD
- 8267810
- Firm
- Investment Management & Planning · CRD 146041
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 2026
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Stephen Lambert work?
Stephen Lambert is an investment adviser representative registered through Investment Management & Planning LLC since June 2026, and is not listed among the firm’s executive officers or direct owners.
Is Stephen Lambert a financial advisor?
Yes. Stephen Lambert has a current investment-adviser registration in Delaware, through Investment Management & Planning since June 2026.
How many years of experience does Stephen Lambert have?
Stephen Lambert has 0 years in the financial industry, since May 2026, across 1 adviser firm.
What exams has Stephen Lambert passed?
Stephen Lambert has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in November 2025.
Is Stephen Lambert registered with FINRA?
Yes. Stephen Lambert has a current broker registration, under CRD 8267810.
Source: FINRA BrokerCheck
How can I verify Stephen Lambert’s record?
Search CRD 8267810 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Stephen Lambert’s full registration record.
