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JH

John P. Hammond

Some features on this profile are disabled
CRD#: 1575396
JH

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.

John Phelps Hammond JR was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1986. John had worked at 4 firms and has passed the Series 63, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 7, 2011 - July 8, 2014

CHAFFE SECURITIES, INC.

BD
CRD#: 152172
RIDGELAND, MS
Past

May 21, 1993 - December 31, 1994

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
Past

December 8, 1988 - August 28, 1989

CAPITAL ONE INVESTMENTS, LLC

BD
CRD#: 17526
Past

December 26, 1986 - October 20, 1987

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/5/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79
Date: 12/6/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/1993
General Securities Representative Examination

Current Firm

CS
CHAFFE SECURITIES, INC.
CHAFFE SECURITIES, INC.

CRD#: 152172 / SEC#: , 8-68433

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
201 St. Charles Avenue Suite 1410, New Orleans, LA 70170-1410
Mailing Address
201 St. Charles Avenue Suite 1410, New Orleans, LA 70170-1410
Phone number
(504) 524-1801
Established
Louisiana since 10/13/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHAFFE & ASSOCIATES, INC.SOLE MEMBER
CLAIBORNE, VANESSA BROWNDIRECTOR/VICE PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP1783779
KOWALSKI, DEIRDRE PATTENCHIEF COMPLIANCE OFFICER1357509
LE BRETON, GLADYS FENNER GAYCHIEF OPERATING OFFICER1783781
SCHMIDT, MICHAEL HUGOPRESIDENT5450650

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.

Company Information

CHAFFE SECURITIES, INC.

CRD#: 152172

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