Bruce J. Hammann
Professional summary
Being a previously registered professional could mean that this person 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.
Bruce James Hammann was a registered financial advisor .
Bruce is a previously registered financial advisor and started their career in finance in 1977. Bruce had worked at 12 firms and has passed the Series 66, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2008 - December 7, 2011
FINANCIAL LEGACY ASSOCIATES
October 30, 2007 - September 13, 2011
OSAIC WEALTH, INC.
April 3, 2007 - November 15, 2011
OSAIC WEALTH, INC.
June 30, 2005 - February 5, 2007
SIGNATOR INVESTORS, INC.
February 18, 2004 - June 17, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
August 28, 2003 - June 17, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
November 19, 1989 - July 31, 2003
OSAIC WEALTH, INC.
January 9, 1984 - January 20, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 4, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 19, 1983 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
July 19, 1983 - June 29, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 19, 1983 - June 29, 1990
OSAIC FA, INC.
February 22, 1977 - May 18, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
February 22, 1977 - May 18, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 1977 - May 18, 1977
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/12/1977
Registered Representative ExaminationCurrent Firm
FINANCIAL LEGACY ASSOCIATES
CRD#: 115944 / SEC#: 801-68836
Contact information
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 6,150,111 |
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.
