Hobart G. Hammond
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.
Hobart Griffith Hammond, who also goes by Hobie Hammond, was a registered financial professional .
Hobart is a previously registered financial professional and started their career in finance in 1972. Hobart had worked at 11 firms and has passed the Series 63, Series 65, Series 6, Series 1, Series 4 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
June 18, 2001 - December 31, 2008
DIRECTED SERVICES LLC
May 13, 1999 - July 5, 2001
VOYA FINANCIAL PARTNERS, LLC
October 29, 1996 - April 8, 1998
FORESIDE DISTRIBUTION SERVICES, L.P.
November 22, 1995 - December 31, 1995
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
March 29, 1990 - May 20, 1991
GEODYNE SECURITIES, INC.
October 13, 1987 - October 19, 1989
MERRICO INVESTMENTS CORPORATION
November 6, 1986 - July 23, 1987
UNIT SECURITIES, INC.
March 27, 1981 - January 24, 1986
SAMSON SECURITIES COMPANY
October 16, 1978 - January 23, 1981
UBS FINANCIAL SERVICES INC.
January 20, 1976 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 23, 1972 - February 5, 1976
BACHE & CO 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 1
Date: 8/21/1972
Registered Representative ExaminationSeries 40
Date: 9/18/1978
Registered Principal ExaminationCurrent Firm
DIRECTED SERVICES LLC
CRD#: 21675 / SEC#: 801-32675, 8-39104
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 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.
