Richard S. White
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.
Richard Stephen White was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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 - January 23, 2020
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
February 26, 2013 - November 8, 2018
MANULIFE INVESTMENT MANAGEMENT (US) LLC
February 25, 2013 - January 22, 2020
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 22, 2009 - May 6, 2011
LOCORR DISTRIBUTORS, LLC
February 26, 2008 - March 24, 2009
MANULIFE INVESTMENT MANAGEMENT (US) LLC
October 18, 2007 - March 23, 2009
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
December 18, 2006 - March 23, 2009
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
March 16, 2004 - December 1, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
March 16, 2004 - December 31, 2006
IDS LIFE INSURANCE COMPANY
December 31, 2000 - September 11, 2002
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 11, 2000 - December 31, 2000
LINCOLN RETIREMENT ADVISORS, INC.
September 20, 1995 - February 4, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 20, 1995 - February 4, 2000
OSAIC FA, INC.
January 1, 1990 - May 19, 1994
MARKETING ONE SECURITIES, 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.
