Douglas L. Koch

JOHN HANCOCK DISTRIBUTORS LLC

Boston, MA 02116

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CRD#: 1305288

Professional summary

Douglas Lee Koch is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1990. Douglas has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 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) - BD

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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

Current

December 14, 2010 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 200 Berkeley Street, Boston, MA 02116

CRD#: 5249

Boston, MA

Past

February 16, 2010 - December 1, 2010

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

February 4, 2009 - February 2, 2010

AXCELUS FINANCIAL DISTRIBUTION COMPANY

CRD#: 38383

NEWPORT BEACH, CA

Past

March 6, 2003 - February 4, 2009

VP DISTRIBUTORS LLC

CRD#: 3036

NEWPORT BEACH, CA

Past

January 29, 2001 - March 10, 2003

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

February 27, 1998 - January 26, 2001

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

April 3, 1990 - December 31, 1996

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/14/2010)

Massachusetts
(7/25/2019)

Exams

State Security Law Exam

Series 63

Date: 12/23/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/2/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/18/1990

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC | MANULIFE FINANCIAL SECURITIES LLC | MANEQUITY, INC.

CRD#: 5249 / SEC#: , 8-15826

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

200 Berkeley Street, Boston, MA 02116

Mailing Address

200 Berkeley Street, Boston, MA 02116

Phone number

(617) 663-3021

Established

Delaware since 08/01/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

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

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Firm Stability Insights

Douglas L. Koch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Lee Koch's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

AXCELUS FINANCIAL DISTRIBUTION COMPANY

VP DISTRIBUTORS LLC

WS GRIFFITH SECURITIES, INC.

MML DISTRIBUTORS, LLC

JOHN HANCOCK DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/23/1993

SIE

Date: 10/1/2018

Series 6

Date: 4/2/1990

Series 26

Date: 4/18/1990

FINRA

Current Firm

JOHN HANCOCK DISTRIBUTORS LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JOHN HANCOCK DISTRIBUTORS LLC

TRUST BUT VERIFY

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