Thomas 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.
Thomas Hammond II, who also goes by Thomas Scott Hammond II, Thomas Hammond, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 99, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2020 - April 4, 2023
FIDELITY PRIME FINANCING
April 27, 2020 - April 4, 2023
NATIONAL FINANCIAL SERVICES LLC
July 27, 2018 - December 31, 2019
FIDELITY DISTRIBUTORS CORPORATION
July 13, 2018 - April 4, 2023
FIDELITY DISTRIBUTORS COMPANY LLC
December 16, 2002 - December 15, 2004
NATIONAL FINANCIAL SERVICES LLC
February 15, 2001 - October 23, 2002
CHARLES SCHWAB & CO., INC.
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 57TO
Date: 9/15/2020
Securities Trader ExamCurrent Firm
FIDELITY PRIME FINANCING
CRD#: 299736 / SEC#: , 8-70261
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | OWNER | |
| CREEDON, ADAM | CHIEF COMPLIANCE OFFICER | 5417517 |
| HUNT, JON PETER | DIRECTOR | 2270130 |
| MARCHUK, ANTON V | ELECTED MANAGER | 4002432 |
| REMMES, GREGORY JOHN | PRINCIPAL OPERATIONS OFFICER, ELECTED MANAGER | 2169049 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| RICHARD, STEPHEN ROBERT | PRESIDENT; ELECTED MANAGER | 3113456 |
| RYAN, KRISTA | C.L.O.; SECRETARY | |
| TESAURO, THOMAS JOHN | C.E.O., ELECTED MANAGER | 1862532 |
Red Flags
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