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200 Berkeley Street, Boston, MA 02116 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-06-16 |
| MA | RA | APPROVED | 2021-07-07 |
Branch Locations
200 Berkeley Street, Boston, MA 02116 • United States
Riverview, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Retirement Solutions | St. Petersburg | FL | 02/2015 | 05/2021 |
| Transamerica Investors Securities Corporation | St. Petersburg | FL | 02/2015 | 05/2021 |
| John Hancock | Boston | MA | 05/2021 | Present |
| John Hancock Distributors Llc | Boston | MA | 06/2021 | Present |
a. OBA Name: Walmart b. Investment-related? No c. OBA Address: 702 SW 8th Street Bentonville, AR 72716 d. OBA Nature: Gig-economy delivery service e. Position, Title, or Relationship with the OBA: Driver f. OBA Start Date: 8/21/2026 g. Approximate number of hours/month devoted to the OBA: 120 (fluctuates month to month) h. Number of hours devoted to the OBA during securities trading hours: 0 i. Brief description of duties related to the OBA: Deliver groceries, general merchandise, and customer orders from Walmart stores to customers.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2017-06-23 |
| S65 | Uniform Investment Adviser Law Examination | 2017-03-30 |
| S66 | Uniform Combined State Law Examination | 2004-10-08 |
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