Bernard D. Hammer
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.
Bernard Dannatt Hammer was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1968. Bernard had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2008 - December 31, 2017
SAXONY SECURITIES, INC.
June 13, 2005 - June 13, 2008
FIRST ALLIED SECURITIES, INC.
January 16, 2003 - June 13, 2005
ROUND HILL SECURITIES, INC.
October 8, 2001 - January 17, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
September 3, 1998 - October 9, 2001
MORGAN STANLEY DW INC.
November 18, 1996 - September 30, 1998
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 16, 1989 - January 1, 1991
ROTAN MOSLE INC.
April 27, 1985 - March 8, 1993
UBS FINANCIAL SERVICES INC.
January 31, 1980 - November 29, 1996
UBS FINANCIAL SERVICES INC.
March 6, 1968 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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: 11/23/1982
Foreign Currency Options ExaminationPC
Date: 9/15/1977
AMEX Put and Call ExamSeries 1
Date: 3/1/1968
Registered Representative ExaminationSeries 40
Date: 5/23/1975
Registered Principal ExaminationSeries 12
Date: 1/17/1975
NYSE Branch Manager ExaminationCurrent Firm
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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