Herbert H. Levine
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.
Herbert H Levine was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1996. Herbert had worked at 11 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2016 - May 23, 2017
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
November 4, 2015 - February 8, 2017
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
April 15, 2015 - June 17, 2016
SIGNATOR INVESTORS, INC.
April 14, 2015 - June 17, 2016
SIGNATOR INVESTORS, INC.
February 13, 2008 - April 15, 2015
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
February 13, 2008 - April 15, 2015
NYLIFE DISTRIBUTORS LLC
September 26, 2007 - February 11, 2008
EAGLE STRATEGIES LLC
November 3, 2006 - February 6, 2008
NYLIFE SECURITIES LLC
February 4, 2005 - October 27, 2006
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
September 16, 2003 - October 27, 2006
NYLIFE DISTRIBUTORS LLC
June 21, 2000 - September 16, 2003
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 24, 1999 - January 11, 2000
FISERV INVESTOR SERVICES, INC.
September 16, 1996 - October 4, 1999
METROPOLITAN LIFE INSURANCE COMPANY
September 16, 1996 - October 4, 1999
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
CRD#: 174433 / SEC#: 801-80927
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 PERSONAL FINANCIAL SERVICES, LLC
CRD#: 174433 / SEC#: 801-80927
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 32,545 |
| AUM (Assets Under Management) | $ 1,975,740,842 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/21/2025 | ||
| 04/22/2024 | ||
| 01/25/2023 |
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.
