JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
Adviser information for JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 149 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 84 |
| Registered State Investment Advisers | 65 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 27,727 | $1.9B |
| Non-Discretionary | 0 | $0 |
| Total | 27,727 | $1.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 27,493 | $1.6B |
| HNW Individuals | 234 | $261.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 24 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 963.2M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| JOHN HANCOCK MANAGED IRA | JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC |
| MYPORTFOLIO | JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC |
Principal Office
200 BERKELEY STREETBOSTON
MA
United States
Monday - Friday, 8:30 A.M. UNTIL 5:00 P.M.
Tel: 617-572-0109, Fax: None
Chief Compliance Officer
ROBERT J. HARTIGAN
CHIEF COMPLIANCE OFFICER
200 BERKELEY STREET
BOSTON
MA
United States
Tel:
617-572-0109
R********@***********M
(Full email address available in API data)
Regulatory Contact
JOHN MOORE
DIRECTOR OF COMPLIANCE
200 BERKELEY ST
BOSTON
MA
United States
Tel:
617-572-1443
J*********@***********M
(Full email address available in API data)
Industry Affiliates
| JOHN HANCOCK DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| JOHN HANCOCK INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| JOHN HANCOCK LIFE INSURANCE COMPANY (USA) | Commodity pool operator or commodity trading advisorInsurance company or agencySponsor, GP, manager of pooled investment vehicles |
| JOHN HANCOCK TRUST COMPANY | Trust company |
| JOHN HANCOCK VARIABLE TRUST ADVISERS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MANULIFE INVESTMENT MANAGEMENT (US) LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SEEL, BETSY, ANNE | Individual | – | COUNSEL, SECRETARY | 12/2014 | < 5% |
| JOHN HANCOCK FINANCIAL CORPORATION | Domestic Entity | THE MANUFACTURERS INVESTMENT CORPORATION | SHAREHOLDER | 12/2009 | > 75% |
| MANULIFE HOLDINGS (ALBERTA) LIMITED | Foreign Entity | JOHN HANCOCK FINANCIAL CORPORATION | SHAREHOLDER | 12/2009 | > 75% |
| MANUFACTURERS LIFE INSURANCE COMPANY (CANADA) | Foreign Entity | MANULIFE HOLDINGS (ALBERTA) LIMITED | SHAREHOLDER | 12/2003 | > 75% |
| MANULIFE FINANCIAL CORPORATION | Foreign Entity | MANUFACTURERS LIFE INSURANCE COMPANY | MEMBER | 09/1999 | > 75% |
| THE MANUFACTURERS INVESTMENT CORPORATION | Domestic Entity | – | SHAREHOLDER | 07/2015 | > 75% |
| NATAUPSKY, JEFFREY, HOWARD | Individual | – | CHIEF FINANCIAL OFFICER | 12/2014 | < 5% |
| HARTIGAN, ROBERT, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2018 | < 5% |
| BARRY, JOHN, KEVIN | Individual | – | ELECTED MANAGER / DIRECTOR | 09/2018 | < 5% |
| DEFRANCESCO, PETER, GREGORY | Individual | – | PRESIDENT; ELECTED MANAGER / DIRECTOR | 07/2019 | < 5% |
| FONTANA, PHILIP, JOSEPH | Individual | – | ELECTED MANAGER/DIRECTOR | 03/2021 | < 5% |
| BROGAN, GREGORY, DANIEL | Individual | – | CHIEF OPERATIONS OFFICER | 05/2023 | < 5% |