Stephen F. Jackson
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.
Stephen Frank Jackson was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2015 - February 5, 2024
JOHN HANCOCK DISTRIBUTORS LLC
November 13, 2012 - April 15, 2015
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
October 25, 2012 - April 15, 2015
NYLIFE DISTRIBUTORS LLC
March 23, 2009 - March 22, 2012
ALLIANCEBERNSTEIN L.P.
February 26, 2009 - March 22, 2012
ALLIANCEBERNSTEIN INVESTMENTS, INC.
December 17, 2008 - February 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2005 - February 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2000 - May 26, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
January 24, 2000 - March 7, 2000
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
September 17, 1990 - December 22, 1997
DEAM INVESTOR SERVICES, INC.
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 DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
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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