John M. Hamauei

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CRD#: 1787008

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 Michael Hamauei was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1988. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

July 3, 2018 - April 4, 2019

INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134

AUSTIN, TX

Past

January 5, 2016 - July 7, 2016

WORLD EQUITY GROUP, INC.

CRD#: 29087

Bee Caves, TX

Past

September 18, 2012 - December 4, 2013

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

AUSTIN, TX

Past

August 4, 2009 - September 27, 2010

AMERIFUND CAPITAL SECURITIES, LLC

CRD#: 142216

HOUSTON, TX

Past

August 23, 2006 - March 30, 2007

HARBOUR INVESTMENTS, INC.

CRD#: 19258

HOUSTON, TX

Past

May 1, 2002 - September 24, 2004

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

January 28, 2000 - June 14, 2000

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

November 10, 1997 - December 31, 1999

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

May 3, 1991 - December 20, 1995

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

September 19, 1988 - May 25, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 11, 1988 - September 23, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 20, 1988 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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

IAR

Series 66

Date: 8/22/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/27/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/20/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134 / SEC#: , 8-68609

Arizona

Registered Investment Advisory firm - SEC (7/14/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/14/2025 Termination Requested)

Washington

Registered Investment Advisory firm - SEC (8/14/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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

11801 Domain Blvd 3rd Floor, Austin, TX 78758

Mailing Address

2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732

Phone number

(512) 266-3000

Established

Delaware since 04/07/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
IIB HOLDINGS, CORP.	OWNER
FICHERA, DANTE	CEO/CFO	3059445
GODDARD, HOUSTON ALLEN	CCO AND GENERAL COUNSEL	1260759

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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Firm Stability Insights

John M. Hamauei

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WORLD EQUITY GROUP, INC.

INTERNATIONAL ASSETS ADVISORY, LLC

AMERIFUND CAPITAL SECURITIES, LLC

HARBOUR INVESTMENTS, INC.

1ST GLOBAL CAPITAL CORP.

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2002

Series 63

Date: 1/27/1988

SIE

Date: 10/1/2018

Series 3

Date: 6/20/1988

Series 7

Date: 1/16/1988

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INDEPENDENT INVESTMENT BANKERS, CORP.

TRUST BUT VERIFY

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