HA
Howard A. Alter
JOHN HANCOCK DISTRIBUTORS LLC
Boston, MA 02116
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CRD#: 2853384
HA
Professional summary
Howard Adam Alter, who also goes by Howard A Alter, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.
Howard is registered as a RR (Registered Representative) and started their career in finance in 1997. Howard has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Howard A Alter
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.
CRS (Client Relationship Summary) - BD
Click below to view Howard Adam Alter's 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®
NoneExperience
Current
January 2, 2019 - Present
JOHN HANCOCK DISTRIBUTORS LLC
Office #1: 200 Berkeley Street, Boston, MA 02116BD
CRD#: 5249
Boston, MA
Past
June 12, 2012 - December 14, 2018
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
BLOOMFIELD, NJ
Past
September 12, 2007 - May 31, 2012
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
May 2, 2006 - September 5, 2007
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NEW YORK, NY
Past
April 29, 2005 - April 17, 2006
LORD ABBETT DISTRIBUTOR LLC
BD
CRD#: 530
JERSEY CITY, NJ
Past
February 11, 1998 - January 3, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
July 2, 1997 - November 25, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(2/9/2022)
RR
Alaska(2/9/2022)
RR
Arizona(2/9/2022)
RR
Arkansas(2/9/2022)
RR
California(2/9/2022)
RR
Colorado(2/9/2022)
RR
Connecticut(2/9/2022)
RR
Delaware(1/2/2019)
RR
District of Columbia(2/9/2022)
RR
Florida(2/9/2022)
RR
Georgia(2/9/2022)
RR
Hawaii(2/9/2022)
RR
Idaho(2/9/2022)
RR
Illinois(10/15/2020)
RR
Indiana(2/9/2022)
RR
Iowa(2/9/2022)
RR
Kansas(2/9/2022)
RR
Kentucky(2/9/2022)
RR
Louisiana(2/9/2022)
RR
Maine(2/9/2022)
RR
Maryland(2/9/2022)
RR
Massachusetts(9/1/2020)
RR
Michigan(2/9/2022)
RR
Minnesota(2/9/2022)
RR
Mississippi(2/9/2022)
RR
Missouri(2/9/2022)
RR
Montana(2/9/2022)
RR
Nebraska(2/9/2022)
RR
Nevada(2/9/2022)
RR
New Hampshire(2/9/2022)
RR
New Jersey(1/2/2019)
RR
New Mexico(2/9/2022)
RR
New York(10/15/2020)
RR
North Carolina(2/9/2022)
RR
North Dakota(2/9/2022)
RR
Ohio(2/9/2022)
RR
Oklahoma(2/9/2022)
RR
Oregon(2/9/2022)
RR
Pennsylvania(1/2/2019)
RR
Puerto Rico(2/9/2022)
RR
Rhode Island(2/9/2022)
RR
South Carolina(2/9/2022)
RR
South Dakota(2/9/2022)
RR
Tennessee(2/9/2022)
RR
Texas(2/9/2022)
RR
Utah(2/9/2022)
RR
Vermont(2/9/2022)
RR
Virginia(2/9/2022)
RR
Washington(2/9/2022)
RR
West Virginia(2/9/2022)
RR
Wisconsin(2/9/2022)
RR
Wyoming(2/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JH
JOHN HANCOCK DISTRIBUTORS LLC
JOHN HANCOCK DISTRIBUTORS LLC | MANULIFE FINANCIAL SECURITIES LLC | MANEQUITY, INC.
CRD#: 5249 / SEC#: , 8-15826
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
200 Berkeley Street, Boston, MA 02116
Mailing Address
200 Berkeley Street, Boston, MA 02116
Phone number
(617) 663-3021
Established
Delaware since 08/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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
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 DISTRIBUTORS LLC
CRD#: 5249Boston, MA 02116TRUST BUT VERIFY
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