James E. Hickey

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CRD#: 1216794

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 Edwin Hickey III, who also goes by James Edwin Hickey, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Edwin Hickey

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.

1)UCW CAR WASH INC- LOCATED IN ALPHARETTA, GA PASSIVE INVESTOR- 0 HOURS DEVOTED. NON INVESTMENT RELATED 2)JAMES E HICKEY INVESTMENT CO INVESTMENT RELATED SUB S CORP HOLDING MARKETABLE SECURITIES AND MUTUAL FUNDS. 3)NAME OF BUSINESS: JOHN HANCOCK ASSET MANAGEMENT ( JHAM ); BUSINESS IS INVESTMENT RELATED. ADDRESS: 101 HUNTINGTON AVENUE, BOSTON MA, 02199. NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISER THAT IS AN AFFILIATE OF (JHF OR JHD) UNDER COMMON CONTROL. RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE. START DATE: (PROVIDED BY JHAM). APPROXIMATE NUMBER OF HOUR/MONTH INVOLVED IN THIS BUSINESS: 10. APPROXIMATE NUMBER OF HOURS INVOLVED IN THIS BUSINESS DURING SECURITIES TRADING HOURS: 10. DUTIES: MARKETING AND OFFERING, ON A WHOLESALE BASIS, THE SEPARATE MANAGED ACCOUNT STRATEGIES OF JHAM 4) OBA Name: CoeLenJoe Dawsonville LLC Investment-related? Yes OBA Address: 420 South Hill St, Buford, GA 30518/ 1591 US Hwy 27 Carrollton, GA, 30017 OBA Nature: Passive real estate investment Position, Title, or Relationship with the OBA: Passive investor/Partner OBA Start Date: 6/1/2023 Approximate number of hours/month devoted to the OBA: 0 Number of hours devoted to the OBA during securities trading hours: 0 Brief description duties related to the OBA: none

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

November 8, 2018 - May 31, 2024

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

Atlanta, GA

Past

August 10, 2017 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

ATLANTA, GA

Past

December 14, 2011 - December 31, 2012

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

ATLANTA, GA

Past

May 16, 2001 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

BOSTON, MA

Past

May 10, 2001 - May 31, 2024

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

ATLANTA, GA

Past

April 5, 2001 - December 31, 2015

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

BOSTON, MA

Past

March 21, 2000 - March 9, 2001

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

August 9, 1995 - March 17, 2000

FEDERATED SECURITIES CORP.

CRD#: 5009

PITTSBURGH, PA

Past

October 9, 1991 - August 17, 1995

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

February 22, 1991 - October 3, 1991

FIDELITY DISTRIBUTORS CORPORATION

CRD#: 6848

SMITHFIELD, RI

Past

September 30, 1985 - May 29, 1987

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

January 25, 1984 - October 4, 1985

J.C. BRADFORD & CO.

CRD#: 1287

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: 7/14/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/3/2015

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/28/1995

Investment Company Products/Variable Contracts 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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Firm Stability Insights

James E. Hickey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

TRANSAMERICA CAPITAL, LLC

FEDERATED SECURITIES CORP.

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY DISTRIBUTORS CORPORATION

ALEX. BROWN & SONS INCORPORATED

J.C. BRADFORD & CO.

Primary Firm SEC Registration

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/2003

Series 63

Date: 3/20/1992

SIE

Date: 10/1/2018

Series 7

Date: 1/21/1984

Series 24

Date: 9/3/2015

Series 26

Date: 8/28/1995

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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