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JH

James Eugene Hammonds

CRD# 502894·Registered 1979 - 1995
Previously Registered: Being a previously registered professional could mean that James 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.

Professional Summary

James Eugene Hammonds, who also goes by Jake Hammonds, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1979 - 1995. James had worked at 7 firms and has passed the Series 63, Series 7, Series 6, Series 52, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jake Hammonds

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

47 years in the financial services industry

Current & Past Employments

SOUTHERN CALIFORNIA SECURITIES, INC.·CRD# 26503
BD
Los Angeles, CA
July 20, 1990 - April 27, 1995
FORTRESS SECURITIES, INC.·CRD# 19613
BD
April 4, 1990 - July 9, 1990
BROADWAY SECURITIES, INC.·CRD# 21808
BD
October 3, 1989 - January 23, 1990
WESTERN FINANCIAL NETWORK OF AMERICA, INC.·CRD# 18383
BD
July 21, 1989 - September 25, 1989
INVESTACORP, INC.·CRD# 7684
BD
Miami, FL
January 13, 1989 - July 3, 1989
MUNICICORP OF CALIFORNIA·CRD# 7184
BD
Woodland Hills, CA
February 5, 1980 - January 3, 1989
HERETH, ORR & JONES, INC.·CRD# 7210
BD
May 25, 1979 - November 26, 1979

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Current Firm

SC
SOUTHERN CALIFORNIA SECURITIES, INC.

SOUTHERN CALIFORNIA SECURITIES, INC.

CRD#: 26503 / SEC#: 8-42575
BD
Revoked by SEC on 02/10/1995

Contact Information

Established

California since 03/12/1990

Firm Type

Corporation

Fiscal Year End

December

Documents

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1979About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1984About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 1983About the Series 6 exam

Series 52 — Municipal Securities Representative Examination

Passed Jul 1979About the Series 52 exam

Series 53 — Municipal Securities Principal Examination

Passed Oct 1990About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Aug 1989About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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