James Hanna, financial advisor Rancho Cucamonga CA
68 score

James Hanna

CRD Number: 1863155
Current Firm: Mml Investors Services, LLC

James Hanna (CRD# 1863155) is an Investment Advisor Representative working at Mml Investors Services, LLC in Rancho Cucamonga, CA and has over 19 years of experience in the finance industry.

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Company Name Location Dates Years
Mml Investors Services, LLC Rancho Cucamonga, CA Mar 2017 - Current 1
Massachusetts Mutual Life Insurance Company Rancho Cucamonga, CA Jul 2016 - Current 1
Metlife Securities, Inc. San Bernardino, CA Sep 2002 - Mar 2017 14
Metropolitan Life Insurance Company San Bernardino, CA Sep 2002 - Jul 2016 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2000
S65 NASAA Investment Advisors Law Examination Dec 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James P. Hanna
Phone Number: (413)737-8400
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    25,618
    MILLIONS
  • Total Number of Accounts
    157,759
    ACCOUNTS
  • Average Account Value
    $162,387
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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BADGES
68

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