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DS

Derek Stern

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS
Boston, MA 02116
Some features on this profile are disabled
CRD#: 2379224
DS

Professional summary

Derek Stern, who also goes by Derek A Stern, Derek Alexandre Stern, is a registered financial professional currently at JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Boston, Massachusetts and JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.

Derek is registered as a RR (Registered Representative) and started their career in finance in 1994. Derek has worked at 17 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Derek A Stern | Derek Alexandre Stern

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 Derek Stern'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

February 10, 2017 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Office #1: 197 Clarendon Street, Boston, MA 02116
BD
CRD#: 28262
Boston, MA
Current

February 15, 2017 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 197 Clarendon Street, Boston, MA 02116
BD
CRD#: 5249
Boston, MA
Current

November 22, 2023 - Present

MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC

Office #1: 200 Berkeley Street, Boston, MA 02116
BD
CRD#: 150842
Boston, MA
Past

April 4, 2006 - November 23, 2016

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

January 25, 2002 - April 3, 2006

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

December 19, 2001 - January 25, 2002

HEARTLAND INVESTOR SERVICES, LLC

BD
CRD#: 29693
BOSTON, MA
Past

June 29, 2001 - January 25, 2002

FORESIDE INVESTMENT SERVICES, LLC

BD
CRD#: 30016
PORTLAND, ME
Past

June 29, 2001 - January 25, 2002

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
BROOKLYN, OH
Past

June 29, 2001 - January 25, 2002

BISYS SHELF B/D (1), INC.

BD
CRD#: 26501
BOSTON, MA
Past

June 29, 2001 - January 25, 2002

FTFD FUND DISTRIBUTOR, INC.

BD
CRD#: 22229
BOSTON, MA
Past

June 29, 2001 - January 25, 2002

EVERGREEN DISTRIBUTOR, INC.

BD
CRD#: 35773
BOSTON, MA
Past

June 29, 2001 - January 25, 2002

STI CLASSIC FUND SERVICES, INC

BD
CRD#: 35746
BOSTON, MA
Past

June 29, 2001 - January 25, 2002

BD COMPLIANCE SOLUTIONS, LLC

BD
CRD#: 30188
PORTLAND, ME
Past

June 29, 2001 - January 25, 2002

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
PORTLAND, ME
Past

June 29, 2001 - January 25, 2002

CITI DISTRIBUTION SERVICES, INC.

BD
CRD#: 29244
BOSTON, MA
Past

June 29, 2001 - January 29, 2002

PROFUNDS DISTRIBUTORS, INC.

BD
CRD#: 19541
BETHESDA, MD
Past

July 3, 2000 - January 25, 2002

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

February 28, 1994 - June 27, 2000

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA

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
Massachusetts
(2/10/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 10/13/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/25/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 2/28/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/10/1995
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MJ
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC | MELIO SECURITIES COMPANY, LLC

CRD#: 150842 / SEC#: , 8-68303

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Contact information

Main Address
200 Berkeley Street, Boston, MA 02116
Mailing Address
200 Berkeley Street, Boston, MA 02116
Phone number
(888) 695-4472
Established
Illinois since 04/10/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JOHN HANCOCK SUBSIDIARIES LLCHOLDING COMPANY (100% DIRECT OWNER)
BOGLE, JAMES WILLIAMPRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL7344902
COMER, DOUGLAS J MRCHAIRMAN, PRESIDENT & CEO4887129
DICKINSON, PAUL WILLIAMCHIEF COMPLIANCE OFFICER2234977

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.

Company Information

MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC

CRD#: 150842Boston, MA 02116

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