Stephen J. Davis
Professional summary
Stephen John Davis, who also goes by Steve Davis, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Highlands Ranch, Colorado.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen John Davis's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 20, 2015 - Present
JOHN HANCOCK DISTRIBUTORS LLC
February 3, 2015 - July 20, 2015
JOHN HANCOCK DISTRIBUTORS LLC
January 7, 2013 - January 5, 2015
GUARDIAN INVESTOR SERVICES LLC
April 11, 2012 - October 18, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
September 2, 2008 - October 26, 2011
VOYA FINANCIAL PARTNERS, LLC
December 7, 2006 - April 25, 2007
CITISTREET EQUITIES LLC
September 1, 2006 - August 28, 2008
VOYA RETIREMENT ADVISORS, LLC
April 26, 2001 - September 1, 2006
CITISTREET EQUITIES LLC
April 20, 1999 - April 11, 2001
CITIGROUP GLOBAL MARKETS INC.
November 5, 1996 - April 2, 1999
CITISTREET EQUITIES LLC
July 31, 1993 - November 14, 1996
CITIGROUP GLOBAL MARKETS INC.
April 7, 1992 - July 31, 1993
LEHMAN BROTHERS 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
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Exams
FINRA
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
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.
