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200 Berkeley St., Boston, MA 02116-5022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2024-11-12 |
| GA | RA | APPROVED | 2024-10-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hrc Fund Associates, Llc | New York | NY | 05/2013 | 02/2018 |
| Hrc Portfolio Solutions, Llc | New York | NY | 05/2013 | 02/2018 |
| Brookfield Investment Management, Inc. | New York | NY | 02/2018 | 07/2018 |
| Quasar Distributors, Llc | Milwaukee | WI | 02/2018 | 07/2018 |
| Principal Funds Distributor, Inc | Stamford | CT | 07/2018 | 10/2024 |
| Principal Asset Management | Stamford | CT | 12/2021 | 10/2024 |
| John Hancock | Boston | MA | 10/2024 | Present |
| John Hancock Investment Management Distributors Llc | Boston | MA | 10/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-16 |
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