James Steven Hammond
Investment adviser representative at Regal Investment Advisors LLC
10 yearsExperience
1 stateRegistered in
$2.9BFirm assets
15 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Regal Investment Advisors, LLCDec 2024 to now
- Regulus Financial Group, LLCSep 2023 to now
- American Equity Investment CorporationApr 2017 to Aug 2023
- Fifth Third BankApr 2016 to Feb 2017
- Fifth Third SecuritiesApr 2016 to Feb 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2002
- Series 65 · Uniform Investment Adviser Law2026
State registrations
Registered as an investment adviser representative in 1 state (KY).
Regal Investment Advisors LLC
$2.9BAssets managed
8,302Clients
118Advisers
15 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4576362
- Firm CRD
- 125004