Home  >  BrightScope Advisor Pages  >  Earl Robert Hamm

Information

Other Names: Earl Robert Hamm Jr
Firm:
Type: Not Actively Registered
Description

Earl Hamm is a financial professional at Prudential Financial Planning Services, a broker-dealer with over 5,100 registered representatives nationwide. Earl has held an industry securities registration for 11 years.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Earl Robert Hamm has not answered any questions on Financial Q&A.

Top Guides

Earl Robert Hamm has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
The Prudential Insurance Company of America 31 years, 7 months Sep 1982 - Present
Pruco Securities, LLC. 31 years, 7 months Sep 1982 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 02/25/2014, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Not registered
Not registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
02/25/2014
12/14/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 01/19/2002
Uniform Securities Agent State Law Examination Series 63 12/11/1992
Investment Company Products/Variable Contracts Representative Examination Series 6 04/30/1983

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees