James J. Hammon
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.
James Joseph Hammon was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 4 firms and has passed the Series 63 and Series 1 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, 1991 - December 31, 1995
AMERICAN GENERAL EQUITY SERVICES CORPORATION
May 13, 1991 - June 21, 1991
PFS INVESTMENTS INC.
June 3, 1986 - October 24, 1990
PRUCO SECURITIES, LLC.
August 21, 1973 - May 19, 1986
METROPOLITAN LIFE INSURANCE COMPANY
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: 8/16/1973
Registered Representative ExaminationCurrent Firm
AMERICAN GENERAL EQUITY SERVICES CORPORATION
CRD#: 5435 / SEC#: , 8-15847
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN GENERAL LIFE INSURANCE COMPANY | OWNER | |
| BLEWS, LAURENCE EUGENE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR | 1958916 |
| FORTIN, MARY JANE BARTOLOTTA | CHAIRMAN, DIRECTOR | 4648706 |
| GATESMAN, RICHARD JOHN II | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2162534 |
| JENNINGS, KYLE | SECRETARY | |
| OSMONSON, DEANNA DEE | VICE PRESIDENT, ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1961054 |
| REINER, JOHN JAY | TREASURER, CONTROLLER, FINOP | 4052196 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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