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Oscar Emerson Ham

Sound View Wealth Advisors Group, LLC

Savannah, GA

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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
Other Names
  • Oscar Emerson Iii Ham

View on SEC IAPD

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COMMONWEALTH FINANCIAL NETWORK · Savannah, GA
PFS INVESTMENTS INC. · SAVANNAH, GA
CHARLES SCHWAB & CO., INC. · Savannah, GA
RL WRIGHT & ASSOCIATES, LLC · SAVANNAH, GA
STATE FARM INVESTMENT MANAGEMENT CORP. · Savannah, GA
BULL STREET ADVISORS · SAVANNAH, GA

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