Douglas B. Hamm
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.
Douglas Byron Hamm was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1995. Douglas had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2017 - December 8, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 29, 2017 - December 8, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 20, 2016 - March 6, 2017
COREBRIDGE CAPITAL SERVICES, INC.
May 18, 2015 - April 11, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
May 12, 2015 - April 11, 2016
ALLSTATE FINANCIAL SERVICES, LLC
April 7, 2014 - May 12, 2015
INTEGRITY ALLIANCE, LLC.
March 24, 2014 - May 12, 2015
INTEGRITY ALLIANCE, LLC.
February 10, 2009 - December 31, 2013
INTEGRITY ALLIANCE, LLC.
December 22, 2008 - December 31, 2013
INTEGRITY ALLIANCE, LLC.
July 25, 2005 - October 22, 2008
SUNSET FINANCIAL SERVICES, INC.
July 21, 2005 - October 22, 2008
SUNSET FINANCIAL SERVICES, INC.
March 19, 2003 - July 11, 2005
CAPITAL BROKERAGE CORPORATION
April 3, 2002 - October 25, 2002
ONEAMERICA SECURITIES, INC.
August 31, 2001 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
August 31, 2001 - October 25, 2002
ONEAMERICA SECURITIES, INC.
October 18, 2000 - September 14, 2001
NEW ENGLAND SECURITIES
August 21, 1995 - October 3, 2000
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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