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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

Dennis R Hammond

Advisor at FIRST TRUST ADVISORS LP

WHEATON, IL | AUGUSTA, GA | WEST PALM BEACH, FL

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Search this name across graphsid dfx:ria:f674312e-ca4e-7501-b880-4bb93a433987

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 31, 1995 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIRST TRUST ADVISORS LP
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 31, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 15, 2019
First registration: Oct 31, 1995
Dual registered: yes, broker-dealer
Other names: DENNIS RAY HAMMOND
IAPD individual key: 716022

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIRST TRUST ADVISORS LP	Asset manager	Mar 20, 2023	n/a	yes	AUGUSTA, GA\|WHEATON, IL\|WEST PALM BEACH, FL	Current employment
FIRST TRUST DIRECT INDEXING	Former SEC adviser	May 9, 2019	Mar 1, 2023	no	West Palm Beach, FL\|BOSTON, MA\|West Palm Beach, FL	Previous registration
SUNPOINTE INVESTMENTS	Independent wealth	Apr 12, 2019	May 13, 2019	no	WEST PALM BEACH, FL\|ST. LOUIS, MO	Previous registration
HAMMOND ASSOCIATES, D/B/A MERCER INVESTMENT CONSULTING	Former SEC adviser	Oct 31, 1995	Mar 31, 2011	no	ST. LOUIS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST TRUST DIRECT INDEXING	FIRST TRUST ADVISORS LP	Mar 1, 2023	Mar 20, 2023	19	Channel change	Other
SUNPOINTE INVESTMENTS	FIRST TRUST DIRECT INDEXING	May 13, 2019	May 9, 2019	-4	Firm change	RIA to RIA
HAMMOND ASSOCIATES, D/B/A MERCER INVESTMENT CONSULTING	SUNPOINTE INVESTMENTS	Mar 31, 2011	Apr 12, 2019	2,934	Firm change after gap	Other

Relationships

Registered with (4)

→ FIRST TRUST ADVISORS LPRegistered adviserregistration: current employment
Mar 20, 2023 to presentfactForm ADV
→ FIRST TRUST DIRECT INDEXINGRegistered adviserregistration: previous registration
May 9, 2019 to Mar 1, 2023factForm ADV
→ SUNPOINTE INVESTMENTSRegistered adviserregistration: previous registration
Apr 12, 2019 to May 13, 2019factForm ADV
→ HAMMOND ASSOCIATES, D/B/A MERCER INVESTMENT CONSULTINGRegistered adviserregistration: previous registration
Oct 31, 1995 to Mar 31, 2011factForm ADV

Dated events

No dated event names this entity yet.