David B. 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.
David Brian Hammond was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2010. David had worked at 5 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2016 - February 26, 2018
IA SECURITIES (USA) INC.
April 23, 2014 - May 7, 2015
EDGECREST CAPITAL (USA) INC.
January 10, 2013 - February 4, 2013
RESEARCH CAPITAL USA INC.
September 7, 2011 - December 12, 2012
NCP NORTHLAND CAPITAL PARTNERS (USA) INC.
February 4, 2010 - July 18, 2011
WELLINGTON WEST CAPITAL MARKETS (USA) 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 37
Date: 2/3/2010
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
IA SECURITIES (USA) INC.
CRD#: 135721 / SEC#: , 8-66944
Contact information
Documents
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 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
