LA
Lucy I. Alexander
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS
Boston, MA 02116
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CRD#: 2208640
LA
Professional summary
Lucy Isabel Alexander is a registered financial professional currently at JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Boston, Massachusetts.
Lucy is registered as a RR (Registered Representative) and started their career in finance in 1992. Lucy has worked at 6 firms and has passed the Series 63, Series 82TO, Series 7TO, SIE, Series 82 and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Lucy Isabel Alexander'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®
NoneExperience
Current
February 6, 2026 - Present
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
Office #1: 197 Clarendon Street, Boston, MA 02116BD
CRD#: 28262
Boston, MA
Past
September 7, 2021 - March 15, 2023
CASTLE HILL CAPITAL PARTNERS, INC.
BD
CRD#: 44131
NEW YORK, NY
Past
March 26, 2016 - September 5, 2019
CASTLE HILL CAPITAL PARTNERS, INC.
BD
CRD#: 44131
NEW YORK, NY
Past
March 26, 2015 - August 21, 2015
EMERSON EQUITY LLC
BD
CRD#: 130032
SAN MATEO, CA
Past
September 1, 1998 - December 11, 1998
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 8, 1996 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
January 29, 1992 - October 16, 1996
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
Alabama(2/23/2026)
RR
Alaska(2/23/2026)
RR
Arizona(2/23/2026)
RR
Arkansas(2/23/2026)
RR
California(2/23/2026)
RR
Colorado(2/23/2026)
RR
Connecticut(2/23/2026)
RR
Delaware(2/23/2026)
RR
District of Columbia(2/23/2026)
RR
Florida(2/23/2026)
RR
Georgia(2/23/2026)
RR
Hawaii(2/23/2026)
RR
Idaho(2/23/2026)
RR
Illinois(2/23/2026)
RR
Indiana(2/23/2026)
RR
Iowa(2/23/2026)
RR
Kansas(2/23/2026)
RR
Kentucky(2/23/2026)
RR
Louisiana(2/23/2026)
RR
Maine(2/23/2026)
RR
Maryland(2/23/2026)
RR
Massachusetts(2/23/2026)
RR
Michigan(2/23/2026)
RR
Minnesota(2/23/2026)
RR
Mississippi(2/23/2026)
RR
Missouri(2/23/2026)
RR
Montana(2/23/2026)
RR
Nebraska(2/23/2026)
RR
Nevada(2/23/2026)
RR
New Hampshire(2/23/2026)
RR
New Jersey(2/23/2026)
RR
New Mexico(2/23/2026)
RR
New York(2/23/2026)
RR
North Carolina(2/23/2026)
RR
North Dakota(2/23/2026)
RR
Ohio(2/23/2026)
RR
Oklahoma(2/23/2026)
RR
Oregon(2/23/2026)
RR
Pennsylvania(2/23/2026)
RR
Puerto Rico(2/23/2026)
RR
Rhode Island(2/23/2026)
RR
South Carolina(2/23/2026)
RR
South Dakota(2/23/2026)
RR
Tennessee(2/23/2026)
RR
Texas(2/23/2026)
RR
Utah(2/23/2026)
RR
Vermont(2/23/2026)
RR
Virgin Islands(2/23/2026)
RR
Virginia(2/23/2026)
RR
Washington(2/23/2026)
RR
West Virginia(2/23/2026)
RR
Wisconsin(2/23/2026)
RR
Wyoming(2/23/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 2/6/2026
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 7TO
Date: 2/6/2026
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK INVESTMENT MANAGEMENT LLC | PARENT | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| DUCKWORTH, JEFFREY OWEN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2429017 |
| FEINBERG, KRISTIE MARIE | CHAIRMAN | 3162040 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| MCFETRIDGE, ANDREW JOHN | DIRECTOR | 2516238 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
