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Current Employers
John Hancock Investment Management Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-09-27
MA RA APPROVED 2023-09-25
  • AZ RA
    APPROVED
    Since 2023-09-27
  • MA RA
    APPROVED
    Since 2023-09-25

Branch Locations

1230 West Washington Street Suite 508, Tempe, AZ 85288 • United States

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

Scottsdale, AZ • 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 07/2023 Present
John Hancock Investment Management Distributors Llc Boston MA 07/2023 Present
University Of South Carolina Columbia SC 08/2021 05/2023
K38 Baja Grill Wilmington NC 06/2018 08/2021
Cape Fear Academy Wilmington NC 08/2006 05/2019
  • 07/2023 → Present
    John Hancock
    Boston, MA
  • 07/2023 → Present
    John Hancock Investment Management Distributors Llc
    Boston, MA
  • 08/2021 → 05/2023
    University Of South Carolina
    Columbia, SC
  • 06/2018 → 08/2021
    K38 Baja Grill
    Wilmington, NC
  • 08/2006 → 05/2019
    Cape Fear Academy
    Wilmington, NC
Other Businesses

a.OBA Name: The Masters b.Investment-related? No c.OBA Address: 2604 Washington Road, Augusta, GA, 30904 d.OBA Nature: Sales attendant in the South Village merchandise shop on property for the whole week of The Masters tournament. e.Position, Title, or Relationship with the OBA: Employee f.OBA Start Date: 04/08/2024 g.Approximate number of hours/month devoted to the OBA: 85 hrs. (only 1 month a year) h.Number of hours devoted to the OBA during securities trading hours: 32.5 hrs (only 1 month a year) i.Brief description duties related to the OBA: Primary role has been that of a t shirt sales attendant. Focusing on customer service and working only within t shirt sales at The Masters. They offer a lot of different merchandise, mostly golf related, throughout the week.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-09-13
  • S66 Uniform Combined State Law Examination
    2023-09-13
Other Names
  • William Dozier

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