Robert Joseph Hartigan
Professional Summary
Robert Joseph Hartigan, who also goes by Robert J Hartigan, Robert Hartigan, is a registered financial advisor currently at JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC located in Boston, Massachusetts and JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts. Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert J Hartigan, Robert Hartigan
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
Contact Information
Main Address
200 Berkeley Street, Boston, MA 02116Phone Number
(617) 572-0109# of Employees
149SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
35,589AUM (Assets Under Management)
$2,198,064,234Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/22/2026 | Cover Page | Report |
| 01/21/2025 | Cover Page | Report |
| 04/22/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(4/23/2007)
(10/31/2024)
(7/16/2024)
(1/30/2020)
(7/16/2024)
(7/16/2024)
(7/16/2024)
(7/16/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1997About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Robert Joseph Hartigan's CRS (Customer Relationship Summary).
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