Chief Compliance Officer · Osaic Institutions, Inc.
Dori Jamille Hammond
CRD 3259012 · Named on Form ADV at one SEC-registered adviser
At a glance
Osaic Institutions, Inc., an SEC-registered broker-dealer firm based in Meriden, CT with $6.5 billion in regulatory assets, lists Dori Jamille Hammond on its Form ADV as Chief Compliance Officer, a control person.
Firms and roles
- Osaic Institutions, Inc.Chief Compliance OfficerBroker-dealer firm · Meriden, CT · $6.5B in regulatory assets
AtlasMembers
Dori’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2005 (21 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Dori’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Stephen Paul AmarantePresident, CEO and Director, Osaic Institutions, Inc.
- Matthew Adam SchlueterDirector and Executive Vice President Operations and Technology Solutions, Osaic Institutions, Inc.
- Gregory Allen CornickDirector, Osaic Institutions, Inc.
- James Dale PriceChairman, Osaic Institutions, Inc.
- Christopher Mills MitchellCorporate Treasurer, Financial and Operations Principal, Osaic Institutions, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Dori’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.