David Duane Smith

Employer firm

John Hancock Investment Management LLC CRD 105790

$212B regulatory AUM 4 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2016 → 07/2021
  Rbc Capital Markets, Llc
  Boston, MA
• 06/2016 → 07/2021
  Rbc Global Asset Management (U.S.) Inc.
  Boston, MA
• 08/2021 → Present
  John Hancock
  Chicago, IL
• 08/2021 → Present
  John Hancock Investment Management Distributors Llc
  Boston, MA

Previous Registrations

• 2016-07-12 → 2021-08-10
  Rbc Capital Markets, Llc
  Boston, MA
  Chicago, IL
• 2014-11-12 → 2016-06-27
  Credit Suisse Securities (Usa) Llc
  Chicago, IL
• 2013-06-24 → 2014-10-29
  Capital Client Group, Inc.
  Los Angeles, CA
• 2010-12-21 → 2012-08-13
  William Blair
  Chicago, IL
  Chicago, IL
  Chicago, IL

Other Businesses

1.) OBA Name: Rental Property Investment-related? No OBA Address: 340 W Superior Apt 812, Chicago, IL 60614 OBA Nature: I rent my old condo out Position, Title, or Relationship with the OBA: Owner OBA Start Date: 12/02/2022 Approximate number of hours/month devoted to the OBA: 0 Number of hours devoted to the OBA during securities trading hours: 0 Brief description duties related to the OBA: No duties, just collect rent 2.) a. OBA Name: City of Naperville b. Investment-related?: No c. OBA Address: 400 S. Eagle Street, Naperville IL, 60540 d. OBA Nature: The Financial Advisory Board is responsible for reviewing and providing recommendations on fiscal policies, financial reports, and budgets to the City Council. The Board also assists the City Manager and Finance Director on special projects that affect the financial affairs of the City. e. Position, Title, or Relationship with the OBA: Financial Advisory Board Member f. OBA Start Date: 4/1/2026 g. Approximate number of hours/month devoted to the OBA: Less than 1 h. Number of hours devoted to the OBA during securities trading hours: 0 i. Brief description duties related to the OBA: Reviewing and providing recommendations on fiscal policies, financial reports, and budgets to the City Council. The Board also assists the City Manager and Finance Director on special projects that affect the financial affairs of the City.

Exams

• S66 Uniform Combined State Law Examination
  2010-12-20

Other Names

• David Smith