Dennis R. Hammond

FIRST TRUST ADVISORS LP

WEST PALM BEACH, FL 33405

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CRD#: 716022

Professional summary

Dennis R Hammond, who also goes by Dennis Ray Hammond, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in West Palm Beach, Florida and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Dennis has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dennis Ray Hammond

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) Entwood Holdings LLC; investment-related; Boston, MA; A holding company which owns Veriti Management and a controlling interest in tru Independence LLC; Minority Owner; 08/2021; 0; 0. 2) Strenta Fund I, Ltd; investment-related; Family Office Investment Trust; Director; 04/2021; 2; 0; Serve as Director of the Fund. 3) Hammond Group LLC; investment-related; West Palm Beach, FL; Redirecting quarterly Strenta Director's fee into a corporate bank account; CEO; 06/2021; 0; 0. OTHER BUSINESS NAME: WORLD HARVEST MISSIONS. LOCATION: PALM BEACH, FL. NATURE OF BUSINESS: CHARITY. POSITION OR TITLE: BOARD MEMBER. RESPONSIBILITIES: PARTICIPATE IN BOARD MEETINGS MONTHLY. START DATE: JUN 29, 2023. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 1. OTHER BUSINESS NAME: THE FRANCESCO COLLABORATIVE. LOCATION: ONLINE. NATURE OF BUSINESS: CATHOLIC SOCIAL TEACHING. POSITION OR TITLE: MEMBER OF WORKSHOP. RESPONSIBILITIES: JOIN WORKSHOP MONTHLY. START DATE: APR, 10, 2024. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 3.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis R 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

March 20, 2023 - Present

FIRST TRUST ADVISORS LP

Office #1: 127 Desota Road, West Palm Beach, FL 33405

RIA

CRD#: 107027

WEST PALM BEACH, FL

Current

March 18, 2023 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

CRD#: 28519

WHEATON, IL

Past

May 9, 2019 - March 1, 2023

FIRST TRUST DIRECT INDEXING

RIA

CRD#: 297760

West Palm Beach, FL

Past

April 12, 2019 - May 13, 2019

SUNPOINTE INVESTMENTS

RIA

CRD#: 282505

WEST PALM BEACH, FL

Past

October 31, 1995 - March 31, 2011

HAMMOND ASSOCIATES, D/B/A MERCER INVESTMENT CONSULTING

RIA

CRD#: 106845

ST. LOUIS, MO

Past

November 16, 1988 - May 31, 1990

COST CONTAINMENT SERVICES, INC.

CRD#: 22938

Past

September 26, 1980 - July 1, 1993

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

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".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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.

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

Florida
(3/20/2023)

Georgia
(5/9/2023)

IAR

Illinois
(3/20/2023)

Illinois
(5/9/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/5/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/15/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/18/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/10/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/5/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/20/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/6/1988

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/1984

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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.

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Firm Stability Insights

Dennis R. Hammond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis R Hammond's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

FIRST TRUST DIRECT INDEXING

SUNPOINTE INVESTMENTS

HAMMOND ASSOCIATES, D/B/A MERCER INVESTMENT CONSULTING

COST CONTAINMENT SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 63

Date: 5/5/2023

Series 65

Date: 2/15/2019

Series 7TO

Date: 3/18/2023

SIE

Date: 2/10/2023

Series 3

Date: 8/5/2014

Series 7

Date: 9/20/1980

Series 27

Date: 10/6/1988

Series 24

Date: 9/27/1984

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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