John B. Hamilton

HAMILTON ADVISORS

GREENWICH, CT

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CRD#: 1554912

Professional summary

John Brock Hamilton is a registered financial advisor currently at HAMILTON ADVISORS INC located in Greenwich, Connecticut.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. John has worked at 2 firms and has passed the Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Brock Hamilton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 30, 1992 - Present

HAMILTON ADVISORS INC

RIA

CRD#: 105342

GREENWICH, CT

Past

November 18, 1986 - April 7, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(3/30/1992)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/26/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/21/1986

National Commodity Futures Examination

Current Firm

HAMILTON ADVISORS INC

CRD#: 105342 / SEC#: 801-16724

RIA

Registered Investment Advisory firm - (6/20/2016 Terminated)

Connecticut

Registered Investment Advisory firm - (6/20/2016 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Greenwich, CT

Mailing Address

Phone number

(203) 629-1112

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 47,583,549

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.

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John B. Hamilton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Brock Hamilton's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMILTON ADVISORS INC

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1986

Series 7

Date: 11/15/1986

Series 3

Date: 10/21/1986

Current Firm

HAMILTON ADVISORS INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAMILTON ADVISORS INC

TRUST BUT VERIFY

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