James D. Brockelman
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.
James Damon Brockelman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2014 - July 6, 2017
JOHN HANCOCK DISTRIBUTORS LLC
November 10, 2010 - October 23, 2013
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
December 16, 2002 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
June 26, 2002 - July 22, 2008
JOHN HANCOCK DISTRIBUTORS LLC
February 16, 2000 - July 9, 2002
EVERLAKE DISTRIBUTORS, LLC
March 31, 1987 - June 14, 2001
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
January 11, 1984 - March 30, 1987
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 5, 1984 - March 16, 1987
PRUCO SECURITIES, LLC.
January 10, 1983 - November 17, 1983
FORESTERS FINANCIAL SERVICES, INC.
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
Current Firm
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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