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MM

Maureen K. Maynard

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CRD#: 1968286
MM

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.

Maureen Kaleta Maynard was a registered financial professional .

Maureen is a previously registered financial professional and started their career in finance in 1989. Maureen had worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

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Question & Answer

Are you a "fiduciary"?
No

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

November 22, 2004 - July 31, 2017

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

December 12, 1995 - November 22, 2004

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

December 21, 1993 - July 19, 1999

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

September 26, 1989 - November 15, 1993

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 9/28/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/25/1989
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/14/1995
Investment Company Products/Variable Contracts Principal Examination

Current Firm

JH
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
JOHN HANCOCK BROKER DISTRIBUTION SERVICES, INC. | JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC | JOHN HANCOCK FUNDS, LLC | JOHN HANCOCK FUNDS, INC.

CRD#: 28262 / SEC#: , 8-43582

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) 663-3000
Established
Delaware since 02/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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 INVESTMENT MANAGEMENT LLCPARENT
BOGLE, JAMES WILLIAMPRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL7344902
DUCKWORTH, JEFFREY OWENPRESIDENT AND CHIEF EXECUTIVE OFFICER2429017
FEINBERG, KRISTIE MARIECHAIRMAN3162040
HARTIGAN, ROBERT JOSEPHCHIEF COMPLIANCE OFFICER2931786
MCFETRIDGE, ANDREW JOHNDIRECTOR2516238
WALTERS, GINA GOLDYCHDIRECTOR5095838

Disclosures

Regulatory Event2

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 INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

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