Richard L. Hamm
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Larue Hamm, who also goes by Rick Hamm, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2005 - March 1, 2016
WFG INVESTMENTS, INC.
December 2, 1999 - December 31, 2004
PRO-INTEGRITY SECURITIES, INC.
January 24, 1997 - November 19, 1999
SUNPOINT SECURITIES, INC.
July 6, 1992 - January 27, 1997
CADARET, GRANT & CO., INC.
November 15, 1983 - July 10, 1992
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
