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IV

Irene E. Vasquez

JOHN HANCOCK DISTRIBUTORS LLC
Boston, MA 02116
Some features on this profile are disabled
CRD#: 1446113
IV

Professional summary

Irene Esquivel Vasquez, who also goes by Irene E Nicholas, Irene Vasquez Nicholas, Irene E Vasquez, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.

Irene is registered as a RR (Registered Representative) and started their career in finance in 1986. Irene has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Irene E Nicholas | Irene Vasquez Nicholas | Irene E Vasquez

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

Click below to view Irene Esquivel Vasquez's CRS (Customer Relationship Summary).

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

March 4, 2019 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 200 Berkeley Street, Boston, MA 02116
BD
CRD#: 5249
Boston, MA
Past

June 3, 2014 - March 27, 2018

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA
CRD#: 142373
COLUMBUS, OH
Past

May 20, 2014 - March 27, 2018

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

December 21, 2005 - February 26, 2013

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GLENDALE, CA
Past

May 31, 2004 - September 22, 2005

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

August 18, 1998 - June 6, 2001

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

BD
CRD#: 40596
HARTFORD, CT
Past

January 29, 1993 - August 16, 1996

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

February 19, 1986 - February 13, 1991

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

RR
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

RR
Alaska
(5/13/2020)
RR
Arizona
(5/13/2020)
RR
California
(3/4/2019)
RR
Colorado
(5/13/2020)
RR
Hawaii
(5/13/2020)
RR
Idaho
(10/8/2020)
RR
Illinois
(5/13/2020)
RR
Massachusetts
(3/4/2019)
RR
Minnesota
(4/27/2023)
RR
Nevada
(7/6/2021)
RR
Oregon
(10/8/2020)
RR
Utah
(5/13/2020)
RR
Washington
(7/6/2021)
RR
Wisconsin
(4/27/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/29/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/21/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/1/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/29/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.)OWNER
BOGLE, JAMES WILLIAMPRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL7344902
HARTIGAN, ROBERT JOSEPHCHIEF COMPLIANCE OFFICER2931786
LANNIGAN, TRACY KANEVICE PRESIDENT & CORPORATE SECRETARY6944688
SILVA, ANTHONY ALEXDIRECTOR7755954
TANKERSLEY, GARY LYNNPRESIDENT & CHIEF EXECUTIVE OFFICER2637199
WALKER, CHRISTOPHER MICHAELVICE PRESIDENT, INVESTMENTS & DIRECTOR4302554

Disclosures

Regulatory Event3
Arbitration3

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.

Company Information

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249Boston, MA 02116

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