BH
Brian J. Hamm
J. W. COLE ADVISORS
Slinger, WI 53086
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CRD#: 5801533
BH
Professional summary
Brian J Hamm is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Slinger, Wisconsin and J.W. COLE FINANCIAL, INC. located in Slinger, Wisconsin.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Brian has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) DBA Name: Luebeck Geisler Hamm Wealth Management, Inc.; Start Date: 07/2020; Investment related; 331 East Washington Street, Slinger, WI 53086; Financial Planning and Agent/sales of insurance and fixed annuity; Partner, 140 hours per month devoted , 140 hours per month devoted during trading hours (20 hrs./mo. spent on insurance sales)
CRS (Client Relationship Summary) - RIA
Click below to view Brian J Hamm's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 25, 2019 - Present
J. W. COLE ADVISORS, INC.
Office #1: 331 East Washington Street, Slinger, WI 53086RIA
CRD#: 112294
Slinger, WI
Current
January 25, 2019 - Present
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
Slinger, WI
Past
March 5, 2016 - January 31, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
MILWAUKEE, WI
Past
July 5, 2010 - January 31, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
MILWAUKEE, WI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Minnesota(3/31/2020)
RR
Wisconsin(1/25/2019)
IAR
Wisconsin(1/25/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
J. W. COLE ADVISORS, INC.
CRD#: 112294Slinger, WI 53086TRUST BUT VERIFY
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