James S. Hammond
Professional summary
James Steven Hammond, who also goes by Steve Hammond, is a registered financial professional currently at REGULUS FINANCIAL GROUP, LLC located in Lexington, Kentucky.
James is registered as a RR (Registered Representative) and started their career in finance in 2002. James has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Steven Hammond's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2023 - Present
REGULUS FINANCIAL GROUP, LLC
Office #1: 709 Millpond Rd, Lexington, KY 40514April 6, 2017 - September 1, 2023
AMERICAN EQUITY INVESTMENT CORPORATION
June 15, 2016 - February 17, 2017
FIFTH THIRD SECURITIES, INC.
August 31, 2011 - March 15, 2016
MML INVESTORS SERVICES, LLC
August 23, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 23, 2002 - September 26, 2011
MSI FINANCIAL SERVICES, 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
(10/3/2025)
(9/5/2023)
(2/5/2024)
(4/8/2024)
(12/9/2024)
(9/5/2023)
Exams
FINRA
Current Firm
REGULUS FINANCIAL GROUP, LLC
CRD#: 150631 / SEC#: , 8-68275
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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Company Information
REGULUS FINANCIAL GROUP, LLC
CRD#: 150631Lexington, KY 40514TRUST BUT VERIFY
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