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Hammond Han
38 Years of Experience
West Palm Beach, FL
4 DisclosuresBroker
Hammond Han is a registered investment advisor at Morgan Stanley, based in West Palm Beach, FL, with 38 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
West Palm Beach, FL
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Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2008Denied
Customer Dispute
January 2006Denied
Customer Dispute
March 2003Denied
Customer Dispute
November 2002Settled
Employment History
Current Registrations
Morgan Stanley
October 2021 - Present · 4 yrs 9 mos
Morgan Stanley
October 2021 - Present · 4 yrs 9 mos
Morgan StanleyBroker
October 2021 - Present · 4 yrs 9 mos
Previous Registrations
UBS Financial Services INC.
October 2008 - November 2021 · 13 yrs 1 mo
UBS Financial Services INC.Broker
September 2008 - November 2021 · 13 yrs 2 mos
Citigroup Global Markets INC.
September 2002 - October 2008 · 6 yrs 1 mo
Citigroup Global Markets INC.Broker
August 2002 - October 2008 · 6 yrs 2 mos
Merrill Lynch Pierce Fenner & Smith INC.
March 1999 - September 2002 · 3 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1997 - September 2002 · 5 yrs
Chase Investment Services CORP.Broker
December 1991 - September 1997 · 5 yrs 9 mos
Chevy Chase Securities, INC.Broker
April 1989 - November 1991 · 2 yrs 7 mos
Sovran Investment CorporationBroker
November 1986 - January 1988 · 1 yr 2 mos
State Registrations41 states
AKALAZCACOCTDCDEFLGAHIILKYLAMAMDMEMIMNMSMTNCNENHNJNVNYOHOKORPARISCTNTXUTVAWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.