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200 Berkeley St., Boston, MA 02116-5022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-11-07 |
| MA | RA | APPROVED | 2024-11-05 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Voya Investment Management | Scottsdale | AZ | 07/2015 | 09/2016 |
| Voya Investments Distributor, Llc | Scottsdale | AZ | 07/2015 | 09/2016 |
| Voya Investment Management Co. Llc | Scottsdale | AZ | 07/2015 | 09/2016 |
| John Hancock Funds | Boston | MA | 09/2016 | 07/2024 |
| John Hancock | Tempe | AZ | 09/2016 | 07/2024 |
| John Hancock Distributors Llc | Boston | MA | 01/2018 | 07/2024 |
| John Hancock Advisers, Llc | Boston | MA | 11/2018 | 07/2024 |
| John Hancock | Queen Creek | AZ | 10/2024 | Present |
| John Hancock Distributors | Boston | MA | 10/2024 | Present |
| John Hancock Investment Management Distributors Llc | Boston | MA | 10/2024 | Present |
| John Hancock Investment Management Llc | Boston | MA | 10/2024 | Present |
OBA Details: 1.) a. OBA Name: FJB Ventures LLC b. Investment-related? No c. OBA Address: 1980 W. Madisen Marie Ave Queen Creek, AZ 85142 d. OBA Nature: Pop-up food service e. Position, Title, or Relationship with the OBA: Chef/Cook f. OBA Start Date: 07/20/2024 g. Approximate number of hours/month devoted to the OBA: 4 h. Number of hours devoted to the OBA during securities trading hours: 0 i. Brief description duties related to the OBA: Cook/Prepare the tri tip along with mac and cheese. 2.) a. OBA Name: Waste Ops LLC b. Investment-related? No c. OBA Address: 1980 W. Madisen Marie Ave Queen Creek, AZ 85142 d. OBA Nature: Dumpster rental services e. Position, Title, or Relationship with the OBA: Marketing Strategist f. OBA Start Date: 08/03/2024 g. Approximate number of hours/month devoted to the OBA: 4 h. Number of hours devoted to the OBA during securities trading hours: 0 i. Brief description duties related to the OBA: Help with marketing ideas to construction and utility companies.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 2008-09-29 |
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