Joel 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.
Joel Hammer was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1971. Joel had worked at 17 firms and has passed the Series 65, Series 63, Series 7, Series 1, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2002 - September 12, 2002
1ST DISCOUNT BROKERAGE, INC.
November 17, 2000 - August 21, 2002
ACUMENT SECURITIES, INC.
June 16, 1999 - August 8, 2000
GRUNTAL & CO., L.L.C.
September 25, 1997 - May 17, 1999
SUTRO & CO. INCORPORATED
July 15, 1996 - September 2, 1997
PRUDENTIAL EQUITY GROUP, LLC
December 14, 1993 - June 13, 1995
BA INVESTMENT SERVICES, INC.
May 2, 1990 - August 4, 1993
SALOMON BROTHERS INC.
January 25, 1990 - March 8, 1990
NYLIFE SECURITIES LLC
October 24, 1983 - June 26, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
October 20, 1983 - September 23, 1985
LEHMAN BROTHERS INC.
July 8, 1982 - September 23, 1983
EXECUTION SERVICES INCORPORATED
February 27, 1980 - September 21, 1983
MORGAN STANLEY & CO. LLC
June 26, 1978 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
September 16, 1977 - March 16, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - October 21, 1977
BACHE HALSEY STUART INC.
February 4, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 20, 1973 - May 26, 1975
DALAFIELD CHILDS INC
September 8, 1971 - July 14, 1973
TD PRIME SERVICES LLC
Primary Firm SEC Registration
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
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 1
Date: 9/2/1971
Registered Representative ExaminationSeries 40
Date: 9/20/1973
Registered Principal ExaminationCurrent Firm
1ST DISCOUNT BROKERAGE, INC.
CRD#: 39164 / SEC#: 801-132978, 8-48557
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 346 |
| AUM (Assets Under Management) | $ 108,117,119 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
