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STEPHANIE MARIE HAMMELL
STEPHANIE HAMMELL
CRD#: 6264992
IA
B
INDEPENDENT ADVISOR ALLIANCE, LLCCRD#: 168267 Redmond, WA
LPL FINANCIAL LLCCRD#: 6413 9481 IRVINE CENTER
IRVINE, CA 92618
IRVINE, CA 92618
0
Disclosures
9
Years of Experience
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State Registrations
B
California 7/20/2015
B
New York 8/22/2018
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California 9/10/2021
B
Washington 8/2/2021
B
Colorado 7/29/2021
IA
Washington 2/18/2025
IA
Colorado 7/29/2021
SRO Registrations
B
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IA
Registered with this firm since 12/16/2024
IA
Registered with this firm since 7/29/2021
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Registered with this firm since 6/15/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/06/2018 - 03/28/2025 | Denver, CO | |
IA | 07/21/2015 - 03/14/2019 | IRVINE, 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.