Walter L. Small
Professional summary
Walter Lee Small, CPWA® is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in Franklin, Tennessee and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Clemson, South Carolina.
Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Walter has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Walter Lee Small's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2019-09-20
Expire date: 2023-08-31
Experience
November 8, 2018 - Present
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
January 13, 2017 - Present
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
December 22, 2017 - November 8, 2018
MANULIFE INVESTMENT MANAGEMENT (US) LLC
August 5, 2010 - January 4, 2017
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 19, 2006 - August 4, 2010
EQUITABLE DISTRIBUTORS, LLC
November 1, 2004 - December 6, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 2, 2000 - October 19, 2004
GLOBAL ATLANTIC DISTRIBUTORS, LLC
March 18, 1998 - July 6, 2000
J.C. BRADFORD & CO.
Primary Firm SEC Registration
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
CRD#: 105790 / SEC#: 801-8124
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/30/2025)
(1/18/2017)
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(1/18/2017)
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(10/30/2025)
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(1/13/2017)
(11/8/2018)
(1/18/2017)
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(10/30/2025)
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(10/30/2025)
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(1/18/2017)
(1/13/2017)
(7/1/2019)
(1/18/2017)
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(10/30/2025)
(10/30/2025)
(10/30/2025)
(1/18/2017)
(10/30/2025)
(1/18/2017)
(1/18/2017)
Exams
FINRA
Current Firm
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
CRD#: 105790 / SEC#: 801-8124
Contact information
SEC notice filing (53 States and Territories)
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.
