James M. Swartz
Professional summary
James Michael Swartz, AIF® is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.
James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Michael Swartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2022 - Present
JOHN HANCOCK DISTRIBUTORS LLC
Office #1: 200 Berkeley Street, Boston, MA 02116March 9, 2020 - February 25, 2022
ASCENSUS BROKER DEALER SERVICES, LLC
February 20, 2018 - March 3, 2020
SECURIAN FINANCIAL SERVICES, INC.
January 4, 2017 - January 11, 2018
TRANSAMERICA CAPITAL, LLC
May 29, 2008 - January 4, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
December 12, 2006 - March 26, 2007
WELLS FARGO INVESTMENTS, LLC
November 22, 2006 - March 26, 2007
WELLS FARGO INVESTMENTS, LLC
February 5, 1996 - December 2, 1997
PFS INVESTMENTS 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
(9/24/2024)
(3/7/2022)
(9/24/2024)
(3/7/2022)
(3/14/2025)
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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Company Information
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249Boston, MA 02116TRUST BUT VERIFY
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