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Adam Hammer

28 Years of Experience
Westlake Village, CA
1 DisclosureBroker

Adam Hammer is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Westlake Village, CA, with 28 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25581 advisors
Number of Clients
1,738,212 clients
Average Client Portfolio
$869K average
Assets Under Management
$1511.1B

Fee Structure

Investment management only (planning not offered)

The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.

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Location

2815 Townsgate Rd, Westlake Village, CA, 91361

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History

Regulatory History (1)
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
April 2001
Denied
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2007 - Present · 19 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2007 - Present · 19 yrs 8 mos
Previous Registrations
UBS Financial Services INC.
January 1999 - January 2007 · 8 yrs
UBS Financial Services INC.Broker
October 1998 - January 2007 · 8 yrs 3 mos
Olde Discount CorporationBroker
July 1997 - September 1998 · 1 yr 2 mos
State Registrations35 states
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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.