Darren D. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Darren Dean Smith, CFP® was a registered financial professional .
Darren is a previously registered financial professional and started their career in finance in 1995. Darren had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2019 - January 10, 2025
JOHN HANCOCK DISTRIBUTORS LLC
November 8, 2018 - January 10, 2025
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
December 15, 2011 - December 31, 2012
JOHN HANCOCK DISTRIBUTORS LLC
August 28, 2008 - November 8, 2018
MANULIFE INVESTMENT MANAGEMENT (US) LLC
August 20, 2008 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
July 31, 2008 - January 10, 2025
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 1, 2002 - December 31, 2008
JOHN HANCOCK DISTRIBUTORS LLC
October 1, 2001 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
June 28, 2001 - October 8, 2001
TOWER SQUARE SECURITIES, INC.
September 7, 2000 - January 16, 2001
DIRECTED SERVICES LLC
December 3, 1999 - May 18, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 12, 1995 - July 29, 1999
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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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