Richard David Ham
Professional Summary
Richard David Ham is a registered financial advisor currently at BROWN BROTHERS HARRIMAN INVESTMENTS, LLC located in New York, New York. Richard is registered as a RR (Registered Representative) and started their career in finance in 2009. Richard has worked at 2 firms and has passed the SIE, Series 99TO and Series 27 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
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Disclosures on record.
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Years of Experience
17 years in the financial services industry
Current & Past Employments
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Current Firm
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
Contact Information
Main Address
140 Broadway, New York, NY 10005-1108Mailing Address
140 Broadway, New York, NY 10005-1108Phone Number
(212) 483-1818Established
Delaware since 11/09/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN BROTHERS HARRIMAN & CO. | SOLE MEMBER | — |
| CARLOTTI, VALENTINO DINO | DIRECTOR | 1968608 |
| GREIFENKAMP, DANIEL JOSEPH | CEO, CHAIRMAN OF THE BOARD | 2180478 |
| HUTSON, JOSHUA EYARE | CCO | 2912952 |
| KRUCZEK, ROBERT PATRICK | DIRECTOR | 2389311 |
| KRUGER, THOMAS JOHN | DIRECTOR | 5847869 |
| MESKIN, JEFFREY BRYAN | DIRECTOR | 2855280 |
| PUSTORINO, PAUL JAMES | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 5059093 |
| WARNER, PHILIP W | DIRECTOR | 4251044 |
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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.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard David Ham's CRS (Customer Relationship Summary).
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