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Ian Stephens

CRD#: 2790543
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IS
Ian Stephens

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.

Ian Stephens, who also goes by Ian Bruce Stephens, Ian B Stephens, was a registered financial professional .

Ian is a previously registered financial professional and started their career in finance in 1996. Ian had 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"?
No

Aliases

Ian Bruce Stephens | Ian B 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 23, 2022 - May 25, 2026

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
Boston, MA
Past

August 12, 2022 - May 25, 2026

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
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

BD
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

BD
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

BD
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

BD
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

BD
CRD#: 7691
BOSTON, MA
Past

November 3, 1999 - October 25, 2002

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

August 27, 1999 - October 19, 1999

C.P. BAKER SECURITIES INCORPORATED

BD
CRD#: 26233
BOSTON, MA
Past

February 16, 1999 - August 23, 1999

BANKBOSTON INVESTOR SERVICES, INC.

BD
CRD#: 36369
BOSTON, MA
Past

December 9, 1997 - February 18, 1999

STOCKCROSS FINANCIAL SERVICES, INC.

BD
CRD#: 6670
BEVERLY HILLS, CA
Past

October 25, 1996 - August 11, 1997

TD AMERITRADE, INC.

BD
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".
JH
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/25/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/6/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/3/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/17/2000
Registered Options Principal Examination

Current Firm

JH
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)
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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 (12/17/2025)
JOHN HANCOCK INVESTMENT MANAGEMENT LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts35,239
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.

Company Information

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

CRD#: 105790

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