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Current Employers
John Hancock Investment Management Llc

200 Berkeley St., Boston, MA 02116-5022 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2020-08-18
CA RA APPROVED 2020-08-10
  • MA RA
    APPROVED
    Since 2020-08-18
  • CA RA
    APPROVED
    Since 2020-08-10

Branch Locations

Los Angeles, CA • United States

200 Berkeley St., Boston, MA 02116-5022 • 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
John Hancock Boston MA 05/2020 Present
John Hancock Investment Management Distributors Llc Boston MA 06/2020 Present
Los Angeles Capital Los Angeles CA 02/2015 04/2020
John Hancock Distributors Llc Boston MA 09/2020 Present
  • 05/2020 → Present
    John Hancock
    Boston, MA
  • 06/2020 → Present
    John Hancock Investment Management Distributors Llc
    Boston, MA
  • 02/2015 → 04/2020
    Los Angeles Capital
    Los Angeles, CA
  • 09/2020 → Present
    John Hancock Distributors Llc
    Boston, MA
Previous Registrations
  • 2014-09-26 → 2017-04-05
    Santa Monica, CA
  • 2010-05-12 → 2012-11-16
    Convergent Wealth Advisors, Llc
    Los Angeles, CA
Other Businesses

a. OBA Name: Larchmont Charter School b. Investment-related?: Yes c. OBA Address: 606 N. Larchmont Blvd. suite 202, Los Angeles, CA 9004 d. OBA Nature: Public School e. Position, Title, or Relationship with the OBA: Investment Committee Member f. OBA Start Date: 06/19/2026 g. Approximate number of hours/month devoted to the OBA: 1 h. Number of hours devoted to the OBA during securities trading hours: 0 i. Brief description duties related to the OBA: This group will convene periodically (ad hoc) to help advise the school’s Executive Director as to how to begin investing the school’s cash reserve. There is a separate finance committee, and the school staff has signing authority with banks and financial institutions, not any of the volunteer committee members.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-11-09
S65 Uniform Investment Adviser Law Examination 2010-05-11
  • S63 Uniform Securities Agent State Law Examination
    2020-11-09
  • S65 Uniform Investment Adviser Law Examination
    2010-05-11
Designations
Other Names
  • Mary Stewart Cunningham
  • Maisie Cunningham Short
  • Mary Stewart Sevier Cunningham

View on SEC IAPD

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