Dori Hammond is a registered investment advisor at Osaic Institutions, INC., based in Scottsdale, AZ, with 26 years of industry experience. Dori operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Retirement Planning. Their firm serves 7,211 clients with $4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Fees for customized advisory services are based on the value of your portfolio and are negotiable. The maximum advisory fee is 2.50%. You may pay monthly or quarterly account fees, either in advance or after the service is provided. These fees are directly deducted from your account. If you invest in mutual funds or ETFs, you'll pay advisory fees to both the fund manager and Osaic Institutions. If the custom advisory services apply to annuities for which the advisor receives trail compensation, such trail fees generally will be used to offset the advisory fee.
Location
18700 N. Hayden Road, Suite 255, Scottsdale, AZ, 85255
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Dori is a board member of the FINRA Membership Committee, providing industry comment on proposed rules, dedicating minimal time. Dori also serves as a non-public arbitrator for FINRA, dedicating a few hours per week.
Employment History
Current Registrations
Osaic Institutions, INC.Broker
Osaic Wealth, INC.
Osaic Services, INC.Broker
Osaic Wealth, INC.Broker
Previous Registrations
American Portfolios Financial Services, INC.Broker
Triad Advisors LLCBroker
Securities America Advisors, INC.
Securities America, INC.Broker
Woodbury Financial Services, INC.Broker
Woodbury Financial Services, INC.Broker
Royal Alliance Associates, INC.Broker
Sagepoint Financial, INC.Broker
VALIC Financial Advisors, INC.Broker
Fsc Securities Corporation
Fsc Securities CorporationBroker
First Clearing CorporationBroker
Capital Brokerage CorporationBroker
State Registrations5 states
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.