Katharine E. Falcione
Professional summary
Katharine Egan Falcione, who also goes by Katharine Marian Egan, Katie Egan, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.
Katharine is registered as a RR (Registered Representative) and started their career in finance in 1996. Katharine has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katharine Egan Falcione's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 7, 2005 - Present
JOHN HANCOCK DISTRIBUTORS LLC
Office #1: 200 Berkeley Street, Boston, MA 02116December 13, 2012 - December 31, 2015
MANULIFE INVESTMENT MANAGEMENT (US) LLC
January 6, 2009 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
October 7, 2005 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
April 12, 2005 - June 29, 2005
CONSECO EQUITY SALES, INC.
July 15, 2004 - March 17, 2005
AXIA ADVISORY
August 17, 2001 - September 3, 2003
AMUNDI DISTRIBUTOR US, INC.
January 17, 2000 - September 7, 2000
PRUDENTIAL EQUITY GROUP, LLC
December 8, 1998 - January 17, 2000
VOLPE BROWN WHELAN & COMPANY, LLC
November 6, 1998 - November 30, 1998
VOLPE BROWN WHELAN & COMPANY, LLC
December 18, 1996 - November 2, 1998
NATIXIS DISTRIBUTION, LLC
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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(3/26/2014)
(6/6/2016)
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(10/7/2005)
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(3/26/2014)
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(1/3/2019)
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(10/8/2020)
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(3/26/2014)
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(6/6/2016)
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(3/26/2014)
(3/6/2023)
(3/6/2023)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249Boston, MA 02116TRUST BUT VERIFY
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