Stephen D. Schuman
Professional summary
Stephen David Schuman is a registered financial advisor currently at JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC located in Boston, Massachusetts and JOHN HANCOCK DISTRIBUTORS LLC located in Plympton, Massachusetts.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen David Schuman's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 20, 2020 - Present
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
Office #1: 601 Congress St., Boston, MA 02210August 22, 2008 - Present
JOHN HANCOCK DISTRIBUTORS LLC
January 2, 2013 - April 13, 2020
MANULIFE INVESTMENT MANAGEMENT (US) LLC
April 2, 2007 - January 11, 2012
MANULIFE INVESTMENT MANAGEMENT (US) LLC
March 26, 2007 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
March 21, 2007 - March 21, 2007
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
March 13, 2007 - December 31, 2011
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
February 15, 2007 - March 15, 2007
J.P. MORGAN SECURITIES LLC
August 12, 2005 - February 12, 2007
COMMONWEALTH FINANCIAL NETWORK
May 6, 2003 - February 12, 2007
COMMONWEALTH FINANCIAL NETWORK
October 19, 2001 - April 4, 2002
DWS DISTRIBUTORS, INC.
November 20, 1998 - October 19, 2001
DEAM INVESTOR SERVICES, INC.
Primary Firm SEC Registration
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
CRD#: 174433 / SEC#: 801-80927
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/28/2017)
(3/30/2017)
(3/28/2017)
(3/29/2017)
(3/28/2017)
(3/29/2017)
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(4/5/2017)
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(3/29/2017)
(4/5/2017)
(3/30/2017)
(3/28/2017)
(3/29/2017)
(3/31/2017)
(4/21/2009)
(2/20/2020)
(3/31/2017)
(3/28/2017)
(3/31/2017)
(5/19/2017)
(3/29/2017)
(3/28/2017)
(4/6/2017)
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(3/31/2017)
(3/29/2017)
(3/30/2017)
(3/29/2017)
(4/8/2017)
(3/28/2017)
(3/30/2017)
(5/16/2017)
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(3/28/2017)
(4/10/2017)
(4/5/2017)
(3/29/2017)
(4/13/2017)
Exams
FINRA
Current Firm
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
CRD#: 174433 / SEC#: 801-80927
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 32,545 |
| AUM (Assets Under Management) | $ 1,975,740,842 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/21/2025 | ||
| 04/22/2024 | ||
| 01/25/2023 |
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#: 174433Boston, MA 02210TRUST BUT VERIFY
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