David Brian Hammond
Professional Summary
David Brian Hammond was a registered financial advisor. David was a previously registered financial professional and started their career in finance 2010 - 2018. David had worked at 5 firms and has passed the Series 63, SIE and Series 37 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
IA SECURITIES (USA) INC. | MGI SECURITIES (USA) INC.
Contact Information
Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDUSTRIAL ALLIANCE INSURANCE AND FINANCIAL SERVICES INC | OWNER | — |
| SMITH, MICHAEL ROTHWELL | CEO, DIRECTOR & CHIEF COMPLIANCE OFFICER | 5417569 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 37 — Canada Module of the General Securities Registered Representative (With Options Questions)
Passed Feb 2010Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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