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AH

Ashley A. Hammond

THE LEADERS GROUP
Louisville, KY 40223
Some features on this profile are disabled
CRD#: 6598268
AH

Professional summary

Ashley Adams Hammond, who also goes by Ashley Ann Adams, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Louisville, Kentucky.

Ashley is registered as a RR (Registered Representative) and started their career in finance in 2016. Ashley has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ashley Ann Adams

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ashley Adams Hammond's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 16, 2024 - Present

THE LEADERS GROUP, INC.

Office #1: 1906 Stanley Gault Pkwy, Louisville, KY 40223
BD
CRD#: 37157
Louisville, KY
Past

September 30, 2020 - April 26, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Lone Tree, CO
Past

July 1, 2019 - September 16, 2020

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
DENVER, CO
Past

April 18, 2017 - July 1, 2019

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

February 12, 2016 - April 24, 2017

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
CENTENNIAL, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(9/23/2024)
RR
Arkansas
(9/23/2024)
RR
Colorado
(5/16/2024)
RR
Florida
(9/23/2024)
RR
Georgia
(9/23/2024)
RR
Louisiana
(9/23/2024)
RR
Mississippi
(9/23/2024)
RR
North Carolina
(9/23/2024)
RR
South Carolina
(9/23/2024)
RR
Tennessee
(9/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/19/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/12/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TL
THE LEADERS GROUP, INC.
SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
475 Springfield Ave Suite 1, Summit, NJ 07901
Phone number
(303) 797-9080
Established
Delaware since 07/14/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.SHAREHOLDER
PETERS, ROBERT WILLIAMFINOP1704577
RILEY, ZORAH JANECHIEF COMPLIANCE OFFICER3015509
WICKERSHAM, SEAN DAVIDPRESIDENT4994630

Disclosures

Regulatory Event4

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.

Company Information

THE LEADERS GROUP, INC.

CRD#: 37157Louisville, KY 40223

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