Raymond M. Smith
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.
Raymond Michael Smith, who also goes by Ray Smith, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1985. Raymond had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2018 - October 4, 2022
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
February 12, 2016 - November 8, 2018
MANULIFE INVESTMENT MANAGEMENT (US) LLC
December 8, 2015 - October 4, 2022
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 22, 2009 - December 2, 2015
TCW INVESTMENT MANAGEMENT COMPANY LLC
January 22, 2009 - December 2, 2015
TCW FUNDS DISTRIBUTORS LLC
May 28, 2008 - January 5, 2009
PACER FINANCIAL, INC.
February 1, 2007 - May 15, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
December 19, 2005 - February 15, 2007
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - February 15, 2007
FRANKLIN DISTRIBUTORS, LLC
December 13, 2004 - December 21, 2005
CITIGROUP GLOBAL MARKETS INC.
May 21, 1998 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
February 13, 1995 - December 18, 1997
INVESCO DISTRIBUTORS, INC.
May 19, 1992 - January 16, 1995
SUNAMERICA SECURITIES, INC.
August 16, 1991 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
June 18, 1987 - November 27, 1989
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 2, 1986 - November 3, 1986
FIRST UNION CAPITAL MARKETS CORP.
July 23, 1985 - May 9, 1986
THE ADVISORS GROUP, INC.
Primary Firm SEC Registration
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
CRD#: 105790 / SEC#: 801-8124
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 INVESTMENT MANAGEMENT LLC
CRD#: 105790 / SEC#: 801-8124
Contact information
SEC notice filing (53 States and Territories)
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.
