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Oscar Emerson Ham

Sound View Wealth Advisors Group, LLC

Savannah, GA

CRD 2194817

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Employer firm

Sound View Wealth Advisors Group, LLC CRD 300927

$2.28B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Sound View Wealth Advisors Group, Llc

1 Skidaway Village Walk Suite 201, Savannah, GA 31411 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-10-24
SC RA APPROVED 2023-07-19
GA RA APPROVED 2019-04-04
  • NC RA
    APPROVED
    Since 2023-10-24
  • SC RA
    APPROVED
    Since 2023-07-19
  • GA RA
    APPROVED
    Since 2019-04-04

Branch Locations

1 Skidaway Village Walk Suite 201, Savannah, GA 31411 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Savannah GA 11/1991 03/2018
Bank Of America,Na Savannah GA 11/2009 03/2018
Sound View Wealth Advisors Savannah GA 03/2018 03/2019
Sound View Wealth Advisors Group, Llc Savannah GA 04/2019 Present
Previous Registrations
  • 2019-01-11 → 2019-04-03
    Sound View Wealth Advisors, Llc
    Savannah, GA
  • 2018-03-28 → 2018-12-31
    Sound View Wealth Advisors, Llc
    Savannah, GA
  • 1999-01-13 → 2018-04-02
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Savannah, GA
    Banner Elk, NC
    Savannah, GA
    Savannah, GA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-05
S63 Uniform Securities Agent State Law Examination 1992-01-30
  • S65 Uniform Investment Adviser Law Examination
    1994-12-05
  • S63 Uniform Securities Agent State Law Examination
    1992-01-30
Designations
  • Certified Financial Planner
Other Names
  • Oscar Emerson Iii Ham

View on SEC IAPD

Nearby Firms

LPL FINANCIAL LLC
VALIC FINANCIAL ADVISORS, INC.
COMMONWEALTH FINANCIAL NETWORK

Nearby Investors

SETH KOVENSKY
JOSEPHINE ALICE CRAKE
RICHARD KELLY LANE

Nearby Offices

LPL FINANCIAL LLC · SAVANNAH, GA
VALIC FINANCIAL ADVISORS, INC. · SAVANNAH, GA
COMMONWEALTH FINANCIAL NETWORK · Savannah, GA

More in Savannah, GA

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