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JANA LINN HAM
JANA HAM
CRD#: 5630257
IA
B
THE WEALTH CONSULTING GROUPCRD#: 173194 70-177 HWY 111
SUITE 201
RANCHO MIRAGE, CA 92270
SUITE 201
RANCHO MIRAGE, CA 92270
LPL FINANCIAL LLCCRD#: 6413 70-177 HWY 111, STE 201
RANCHO MIRAGE, CA 92270
RANCHO MIRAGE, CA 92270
0
Disclosures
16
Years of Experience
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State Registrations
B
California 11/13/2014
B
Oregon 2/8/2024
IA
California 11/18/2014
IA
Texas 11/20/2015
B
Maryland 2/8/2024
B
Washington 2/8/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/18/2014
B
Registered with this firm since 11/13/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/27/2015 - 02/01/2016 | RANCHO MIRAGE, CA | |
IA | 04/01/2009 - 11/19/2014 | SAN DIEGO, CA | |
B | 02/19/2009 - 11/19/2014 | SAN DIEGO, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.