Stephen M. Hammers
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.
Stephen Michael Hammers, CIMA®, who also goes by Stephen M Hammers, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2015 - July 8, 2019
VICTORY CAPITAL SERVICES, INC.
December 21, 2009 - March 9, 2012
MATRIX CAPITAL GROUP, INC.
March 28, 2007 - May 12, 2015
COMPASS EFFICIENT MODEL PORTFOLIOS, LLC
September 29, 2005 - September 27, 2007
FSC SECURITIES CORPORATION
May 19, 2003 - December 31, 2006
COMPASS EFFICIENT MODEL PORTFOLIOS, LLC
December 1, 1995 - April 11, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 1995 - April 11, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VICTORY CAPITAL SERVICES, INC.
CRD#: 37059 / SEC#: , 8-47577
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
