SF
Sean M. Farley
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
NORWELL, MA
Some features on this profile are disabled
CRD#: 2313848
SF
Professional summary
Sean Michael Farley, who also goes by Sean M Farley, is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in Norwell, Massachusetts and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Clemson, South Carolina.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Sean has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean M Farley
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.
NAME OF BUSINESS: JOHN HANCOCK ASSET MANAGEMENT ( JHAM ); BUSINESS IS INVESTMENT RELATED. ADDRESS: 101 HUNTINGTON AVENUE, BOSTON MA, 02199. NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISER THAT IS AN AFFILIATE OF (JHF OR JHD) UNDER COMMON CONTROL. RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE. START DATE: (PROVIDED BY JHAM). APPROXIMATE NUMBER OF HOUR/MONTH INVOLVED IN THIS BUSINESS: 10. APPROXIMATE NUMBER OF HOURS INVOLVED IN THIS BUSINESS DURING SECURITIES TRADING HOURS: 10. DUTIES: MARKETING AND OFFERING, ON A WHOLESALE BASIS, THE SEPARATE MANAGED ACCOUNT STRATEGIES OF JHAM
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Farley'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
November 8, 2018 - Present
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
NORWELL, MA
Current
June 10, 1993 - Present
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
Clemson, SC
Past
December 15, 2011 - December 31, 2012
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
OREM, UT
Past
September 11, 2003 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
BOSTON, MA
Past
September 11, 2003 - November 8, 2018
MANULIFE INVESTMENT MANAGEMENT (US) LLC
RIA
CRD#: 106435
BOSTON, MA
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".
JH
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC
CRD#: 105790 / SEC#: 801-8124
RIA
Registered Investment Advisory firm - (12/12/1971 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(6/23/2023)
RR
Connecticut(12/11/2008)
RR
Delaware(8/24/2011)
RR
District of Columbia(8/24/2011)
RR
Florida(6/23/2023)
RR
Georgia(6/23/2023)
RR
Illinois(6/23/2023)
RR
Indiana(6/23/2023)
RR
Iowa(6/23/2023)
RR
Kentucky(6/23/2023)
RR
Louisiana(6/23/2023)
RR
Maine(8/24/2011)
RR
Maryland(8/24/2011)
RR
Massachusetts(11/5/1993)
IAR
Massachusetts(11/8/2018)
RR
Michigan(8/24/2011)
RR
Minnesota(6/23/2023)
RR
Mississippi(6/23/2023)
RR
New Hampshire(8/24/2011)
RR
New Jersey(8/24/2011)
RR
New York(8/24/2011)
RR
North Carolina(6/23/2023)
RR
North Dakota(6/23/2023)
RR
Ohio(8/25/2011)
RR
Pennsylvania(8/24/2011)
RR
Rhode Island(3/1/2002)
RR
South Carolina(6/23/2023)
RR
South Dakota(6/23/2023)
RR
Vermont(8/24/2011)
RR
Virginia(12/22/2011)
RR
West Virginia(8/24/2011)
RR
Wisconsin(6/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
JH
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC
CRD#: 105790 / SEC#: 801-8124
RIA
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Contact information
Main Address
200 Berkeley St., Boston, MA 02116-5022
Mailing Address
Phone number
(617) 663-3000
Established
Firm type
Fiscal year end
# of Employees
363
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.
