Michael J. Mahoney
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael James Mahoney was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2019 - December 4, 2023
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
June 24, 2016 - December 4, 2023
JOHN HANCOCK DISTRIBUTORS LLC
June 4, 2013 - March 4, 2015
MANAGED ACCOUNT SERVICES, LLC
August 4, 2011 - May 7, 2013
PYRAMIS DISTRIBUTORS CORPORATION LLC
August 30, 2007 - February 16, 2011
ULLICO INVESTMENT COMPANY, LLC
January 11, 2006 - November 3, 2006
ULLICO INVESTMENT COMPANY, LLC
May 20, 2003 - September 14, 2005
CANTELLA & CO., INC.
April 18, 2001 - March 27, 2002
FORTIS CAPITAL INVESTMENTS INC.
September 9, 1997 - July 16, 1999
CITIZENS SECURITIES, INC.
May 3, 1993 - September 3, 1997
FIS SECURITIES, INC.
September 29, 1987 - January 1, 1993
MORGAN STANLEY DW INC.
November 17, 1981 - October 9, 1987
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
CRD#: 28262 / SEC#: , 8-43582
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK INVESTMENT MANAGEMENT LLC | PARENT | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| DUCKWORTH, JEFFREY OWEN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2429017 |
| FEINBERG, KRISTIE MARIE | CHAIRMAN | 3162040 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| MCFETRIDGE, ANDREW JOHN | DIRECTOR | 2516238 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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