John F. Hanna Jr

LPL ENTERPRISE

WAKEFIELD, MA 01880

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CRD#: 2204890

Professional summary

John Franklin Hanna Jr, who also goes by John Franklin Hanna Jr, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Wakefield, Massachusetts.

John is registered as a RR (Registered Representative) and started their career in finance in 1993. John has worked at 13 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Franklin Hanna Jr

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 John Franklin Hanna Jr's CRS (Customer Relationship Summary).

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

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 500 Edgewater Drive Suite 595, Wakefield, MA 01880

RIA

CRD#: 8733

WAKEFIELD, MA

Past

January 17, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

WAKEFIELD, MA

Past

September 7, 2018 - January 18, 2024

HORACE MANN INVESTORS, INC.

CRD#: 11643

NASHUA, NH

Past

March 25, 2017 - August 28, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

Lowell, MA

Past

September 1, 2010 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

DANVERS, MA

Past

November 6, 2009 - September 10, 2010

HORACE MANN INVESTORS, INC.

CRD#: 11643

WESTFORD, MA

Past

December 6, 2007 - January 16, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

MERRIMACK, NH

Past

October 13, 2005 - January 4, 2008

LPL FINANCIAL LLC

CRD#: 6413

MANCHESTER, NH

Past

August 16, 2002 - October 20, 2005

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

October 29, 1996 - August 29, 2002

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

NEW YORK, NY

Past

February 27, 1995 - August 29, 2002

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

NEW YORK, NY

Past

March 8, 1994 - February 21, 1995

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

October 8, 1993 - April 27, 1994

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

May 6, 1993 - September 21, 1993

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

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

Maine
(11/14/2024)

Massachusetts
(11/14/2024)

New Hampshire
(11/14/2024)

Vermont
(11/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/12/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/5/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

John F. Hanna Jr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Franklin Hanna Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

HORACE MANN INVESTORS, INC.

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

HORACE MANN INVESTORS, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

LPL FINANCIAL LLC

VALIC FINANCIAL ADVISORS, INC.

MUTUAL OF AMERICA SECURITIES LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

MARKETING ONE SECURITIES, INC.

SECURIAN FINANCIAL SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/1994

SIE

Date: 10/1/2018

Series 6

Date: 5/5/1993

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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