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Detailed Report
MARK JONATHAN HAMMOND
CRD#: 2187532
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 350 W COLORADO BLVD STE 390
[LC-RBO]
PASADENA, CA 91105
Registration History
19952000200520102015202020252 FIRMS2006 - 2011 (4 years)2 FIRMS2011 - Present (14 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1999 - 2006 (6 years)BBA INVESTMENT SERVICES, INC. (CRD# 12965)1994 - 1999 (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1991 - 1994 (2 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)1998 - 2006 (7 years)
License(s)

State Registrations

B
California 1/3/2011
B
Ohio 2/3/2025
IA
California 1/3/2011
B
Tennessee 11/1/2016
B
Georgia 1/31/2018
B
Texas 8/3/2016
B
Illinois 1/3/2011
IA
Texas 8/3/2016
B
Maryland 4/12/2012
B
Washington 1/3/2011
B
Nevada 7/25/2016

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
350 W COLORADO BLVD STE 390 [LC-RBO], PASADENA, CA 91105
Registered with this firm since 1/3/2011
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
350 W COLORADO BLVD STE 390 [LC-RBO], PASADENA, CA 91105
Registered with this firm since 1/3/2011
Previous Registration(s)
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IA
 05/01/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PASADENA, CA
B
 05/01/2006 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) PASADENA, CA
IA
 09/21/1998 - 05/02/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PASADENA, CA
B
 07/12/1999 - 05/02/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PASADENA, CA
B
 07/12/1994 - 07/12/1999 BA INVESTMENT SERVICES, INC. (CRD#:12965) OAKLAND, CA
B
 12/12/1991 - 07/13/1994 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.