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Douglas E. Allen

JOHN HANCOCK PERSONAL FINANCIAL SERVICES
Covington, LA
Some features on this profile are disabled
CRD#: 3121230
DA

Professional summary

Douglas Eugene Allen, who also goes by Doug Eugene Allen, is a registered financial advisor currently at JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC located in Covington, Louisiana and JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Douglas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Doug Eugene Allen

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) - RIA

Click below to view Douglas Eugene Allen'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

July 17, 2024 - Present

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

RIA
CRD#: 174433
Covington, LA
Current

July 12, 2024 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 200 Berkeley Street, Boston, MA 02116
BD
CRD#: 5249
Boston, MA
Past

August 1, 2013 - June 12, 2024

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA
CRD#: 142373
COLUMBUS, OH
Past

March 31, 2011 - June 12, 2024

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

April 27, 2004 - January 26, 2011

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

August 28, 2000 - January 23, 2004

ENTERPRISE FUND DISTRIBUTORS, INC.

BD
CRD#: 883
ATLANTA, GA
Past

October 29, 1998 - October 15, 1999

ARM SECURITIES CORPORATION

BD
CRD#: 932
MINOT, ND

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 PERSONAL FINANCIAL SERVICES, LLC
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

CRD#: 174433 / SEC#: 801-80927

RIA
Registered Investment Advisory firm - (2/13/2015 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.
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
(11/5/2025)
RR
Florida
(9/11/2024)
RR
Louisiana
(7/12/2024)
IAR
Louisiana
(7/18/2024)
RR
Massachusetts
(7/12/2024)
IAR
Massachusetts
(7/17/2024)
RR
Mississippi
(7/12/2024)
RR
Texas
(11/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/31/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/26/2001
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: 10/27/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/4/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

JH
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

CRD#: 174433 / SEC#: 801-80927

RIA
Registered Investment Advisory firm - (2/13/2015 Approved)
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Contact information

Main Address
200 Berkeley Street, Boston, MA 02116
Mailing Address
Phone number
(617) 572-0109
Established
Firm type
Fiscal year end
# of Employees
163

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

JOHN HANCOCK PERSONALIZED RETIREMENT ADVICE (3/28/2025)
JOHN HANCOCK MANAGED IRA (3/28/2025)
MANULIFE JOHN HANCOCK PRIVATE WEALTH (3/28/2025)
JH ADVICE FINANCIAL PLANNING (3/28/2025)
MYPORTFOLIO (3/28/2025)

Regulatory assets under management

Total Number of Accounts32,545
AUM (Assets Under Management)$ 1,975,740,842

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/21/2025
Cover Page
Report
04/22/2024
Cover Page
Report
01/25/2023
Cover Page
Report

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 PERSONAL FINANCIAL SERVICES, LLC

CRD#: 174433Covington, LA

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