Joseph B. Harding

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CRD#: 1189643

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.

Joseph Bernard Harding was a registered financial advisor .

Joseph is a previously registered financial advisor and started their career in finance in 1983. Joseph had worked at 5 firms and has passed the Series 65, Series 63, Series 53, Series 4, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 16, 2008 - May 5, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

HANOVER, MA

Past

August 21, 2002 - December 31, 2006

JOHN HANCOCK DISTRIBUTORS LLC

RIA

CRD#: 5249

HANOVER, MA

Past

January 1, 2002 - May 5, 2010

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

August 11, 1994 - January 1, 2002

MANULIFE WOOD LOGAN, INC.

CRD#: 19177

STAMFORD, CT

Past

March 20, 1984 - August 19, 1985

WADDELL & REED

CRD#: 866

Past

December 12, 1983 - October 20, 1993

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC

CRD#: 105790 / SEC#: 801-8124

RIA

Registered Investment Advisory firm - (12/12/1971 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/15/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/1982

Uniform Securities Agent State Law Examination

Principal/Supervisory Exam

Series 53

Date: 3/7/1986

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/10/1985

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/1985

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 10/15/1983

Financial and Operations Principal Examination

Current Firm

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC

CRD#: 105790 / SEC#: 801-8124

RIA

Registered Investment Advisory firm - (12/12/1971 Approved)

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Contact information

Main Address

200 Berkeley St., Boston, MA 02116-5022

Mailing Address

Phone number

(617) 663-3000

Established

Firm type

Fiscal year end

# of Employees

363

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MODEL PORTFOLIOS SERVICES (3/21/2025)

JOHN HANCOCK INVESTMENT MANAGEMENT LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts	35,239
AUM (Assets Under Management)	$ 202,193,176,436

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Joseph B. Harding

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

MANULIFE WOOD LOGAN, INC.

WADDELL & REED

IFMG SECURITIES, INC.

Primary Firm SEC Registration

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/2002

Series 63

Date: 6/22/1982

Series 53

Date: 3/7/1986

Series 4

Date: 7/10/1985

Series 24

Date: 5/1/1985

Series 27

Date: 10/15/1983

Current Firm

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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