Regan S. 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.
Regan Suzanne Hamm, who also goes by Amy Haller, Regan Suzanne Haller, Amy Hamm, was a registered financial professional .
Regan is a previously registered financial professional and started their career in finance in 1986. Regan had worked at 5 firms and has passed the Series 65, Series 63, Series 15, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2003 - March 8, 2013
ALLSTATE FINANCIAL SERVICES, LLC
August 10, 1999 - September 24, 2002
PRUDENTIAL EQUITY GROUP, LLC
December 11, 1998 - September 24, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 16, 1997 - December 9, 1998
GRIFFIN FINANCIAL SERVICES
February 1, 1994 - January 1, 1997
GATEWAY INVESTMENT SERVICES, INC.
May 17, 1991 - December 9, 1992
PRUDENTIAL EQUITY GROUP, LLC
July 3, 1990 - May 21, 1991
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
March 20, 1986 - July 17, 1990
PRUDENTIAL EQUITY GROUP, LLC
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
Series 15
Date: 4/4/1988
Foreign Currency Options ExaminationCurrent Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
