Dennis K. Regan

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

West Roxbury, MA

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CRD#: 2896717

Professional summary

Dennis K Regan JR is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in West Roxbury, Massachusetts and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Boston, Massachusetts.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Dennis has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

OBA Name: Parkway Little League Investment-related? No OBA Address: 25 Baker Street, West Roxbury, MA 02132 OBA Nature: Little League Baseball Position, Title, or Relationship with the OBA: Assistant Coach OBA Start Date: 4/8/2023 Approximate number of hours/month devoted to the OBA: 15 Number of hours devoted to the OBA during securities trading hours: 0 Brief description duties related to the OBA: Volunteer coach for my son's little league team.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis K Regan JR'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

November 8, 2018 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Office #2: 200 Berkeley St., Boston, MA 02116-5022

RIA

CRD#: 105790

West Roxbury, MA

Current

November 1, 2010 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

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

CRD#: 28262

Boston, MA

Past

January 11, 2016 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

BOSTON, MA

Past

August 30, 2012 - December 31, 2014

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

BOSTON, MA

Past

January 1, 2005 - December 31, 2012

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

January 1, 2002 - January 1, 2005

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

November 12, 1998 - January 1, 2002

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

August 15, 1997 - December 3, 1998

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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

Alabama
(7/11/2022)

Florida
(7/11/2022)

Georgia
(9/19/2018)

Illinois
(1/7/2025)

Indiana
(6/27/2025)

Kentucky
(6/27/2025)

Louisiana
(7/11/2022)

Massachusetts
(10/21/2016)

IAR

Massachusetts
(11/8/2018)

Michigan
(6/27/2025)

Mississippi
(7/11/2022)

Missouri
(1/7/2025)

North Carolina
(10/21/2016)

Ohio
(6/30/2025)

Puerto Rico
(1/7/2025)

South Carolina
(10/21/2016)

Tennessee
(1/7/2025)

Texas
(1/7/2025)

Virgin Islands
(1/7/2025)

Virginia
(8/12/2020)

West Virginia
(6/27/2025)

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: 8/28/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/16/1997

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: 1/7/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/14/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/14/2006

General Securities 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)

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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 (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.

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Firm Stability Insights

Dennis K. Regan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis K Regan JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

SIGNATOR INVESTORS, INC.

JOHN HANCOCK DISTRIBUTORS LLC

SIGNATOR INVESTORS, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2012

Series 63

Date: 12/16/1997

SIE

Date: 10/1/2018

Series 7

Date: 1/7/1999

Series 6

Date: 8/14/1997

Series 24

Date: 12/14/2006

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

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