Ian B. Stephens

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Boston, MA 02116

Some features on this profile are disabled

CRD#: 2790543

Professional summary

Ian B Stephens, who also goes by Ian B Stephens, Ian Bruce Stephens, is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in Boston, Massachusetts and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Boston, Massachusetts.

Ian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Ian has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ian B Stephens | Ian Bruce Stephens

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.

1.) a. OBA Name: Owner of Rental Property b. Investment-related? No c. OBA Address: 41 Maple Street, Middleton, MA 01945 d. OBA Nature: Rental Property e. Position, Title, or Relationship with the OBA: Owner f. OBA Start Date: 08/15/2021 g. Approximate number of hours/month devoted to the OBA: 0 h. Number of hours devoted to the OBA during securities trading hours: 0 i. Brief description duties related to the OBA: Owner of rental property. Not involved in day-to-day activity. 2.) a.OBA Name: RUNdays b.Investment-related? No c.OBA Address: 236 Perkins Row, Topsfield, MA, 01983 d.OBA Nature: Run coaching/marathon training e.Position, Title, or Relationship with the OBA: Partner f.OBA Start Date: 6/1/2024 g.Approximate number of hours/month devoted to the OBA: 28 h.Number of hours devoted to the OBA during securities trading hours: 0 i.Brief description duties related to the OBA: Marketing

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian B Stephens'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

August 23, 2022 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Office #1: 197 Clarendon Street, Boston, MA 02116

RIA

CRD#: 105790

Boston, MA

Current

August 12, 2022 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Office #1: 197 Clarendon Street, Boston, MA 02116

CRD#: 28262

Boston, MA

Past

December 11, 2019 - October 4, 2021

EDWARD JONES

RIA

CRD#: 250

Peabody, MA

Past

December 6, 2019 - October 4, 2021

EDWARD JONES

CRD#: 250

Peabody, MA

Past

February 22, 2019 - December 6, 2019

HARRISDIRECT LLC

RIA

CRD#: 42159

Boston, MA

Past

February 12, 2019 - December 6, 2019

E*TRADE SECURITIES LLC

CRD#: 29106

Boston, MA

Past

August 22, 2017 - January 31, 2019

EDWARD JONES

RIA

CRD#: 250

MARBLEHEAD, MA

Past

August 11, 2017 - January 31, 2019

EDWARD JONES

CRD#: 250

MARBLEHEAD, MA

Past

February 14, 2011 - July 17, 2017

NATIXIS ADVISORS, LLC

RIA

CRD#: 106800

BOSTON, MA

Past

February 10, 2011 - July 17, 2017

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

November 28, 2008 - March 19, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOSTON, MA

Past

November 4, 2008 - March 19, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOSTON, MA

Past

November 3, 1999 - October 25, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

August 27, 1999 - October 19, 1999

C.P. BAKER SECURITIES INCORPORATED

CRD#: 26233

BOSTON, MA

Past

February 16, 1999 - August 23, 1999

BANKBOSTON INVESTOR SERVICES, INC.

CRD#: 36369

BOSTON, MA

Past

December 9, 1997 - February 18, 1999

STOCKCROSS FINANCIAL SERVICES, INC.

CRD#: 6670

BEVERLY HILLS, CA

Past

October 25, 1996 - August 11, 1997

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC

CRD#: 105790 / SEC#: 801-8124

RIA

Registered Investment Advisory firm - (12/12/1971 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Illinois
(3/30/2023)

Indiana
(3/30/2023)

Iowa
(3/30/2023)

Massachusetts
(8/12/2022)

IAR

Massachusetts
(8/23/2022)

Michigan
(3/30/2023)

Minnesota
(3/30/2023)

Nebraska
(1/6/2025)

North Dakota
(3/30/2023)

Ohio
(3/30/2023)

South Dakota
(3/30/2023)

Wisconsin
(3/30/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/25/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/6/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/3/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/17/2000

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC

CRD#: 105790 / SEC#: 801-8124

RIA

Registered Investment Advisory firm - (12/12/1971 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 Berkeley St., Boston, MA 02116-5022

Mailing Address

Phone number

(617) 663-3000

Established

Firm type

Fiscal year end

# of Employees

363

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MODEL PORTFOLIOS SERVICES (3/21/2025)

JOHN HANCOCK INVESTMENT MANAGEMENT LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts	35,239
AUM (Assets Under Management)	$ 202,193,176,436

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.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ian B. Stephens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian B Stephens's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

EDWARD JONES

EDWARD JONES

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

EDWARD JONES

EDWARD JONES

NATIXIS ADVISORS, LLC

NATIXIS DISTRIBUTION, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIDELITY BROKERAGE SERVICES LLC

C.P. BAKER SECURITIES INCORPORATED

BANKBOSTON INVESTOR SERVICES, INC.

STOCKCROSS FINANCIAL SERVICES, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/25/2008

Series 63

Date: 11/6/1996

SIE

Date: 10/1/2018

Series 7

Date: 11/3/2008

Series 4

Date: 3/17/2000

FINRA

Current Firm

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors