Joseph F. Luiz

JOHN HANCOCK PERSONAL FINANCIAL SERVICES

Plainville, MA

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CRD#: 3187202

Professional summary

Joseph Frank Luiz JR is a registered financial advisor currently at JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC located in Plainville, Massachusetts and JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Frank Luiz 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

June 18, 2019 - Present

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

RIA

CRD#: 174433

Plainville, MA

Current

May 23, 2019 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 200 Berkeley Street, Boston, MA 02116

CRD#: 5249

Boston, MA

Past

May 26, 2006 - May 2, 2019

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

CANTON, MA

Past

October 19, 2005 - December 2, 2005

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

January 12, 2005 - May 2, 2019

CITIZENS SECURITIES, INC.

CRD#: 39550

CANTON, MA

Past

August 28, 2001 - January 11, 2005

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

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 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.

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

Massachusetts
(5/23/2019)

IAR

Massachusetts
(6/18/2019)

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 65

Date: 9/13/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/2002

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: 12/16/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/27/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 1/23/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/5/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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 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	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.

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Firm Stability Insights

Joseph F. Luiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Frank Luiz JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK DISTRIBUTORS LLC

CITIZENS SECURITIES, INC.

CHARTER ONE SECURITIES, INC.

CITIZENS SECURITIES, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/13/2005

Series 63

Date: 1/15/2002

SIE

Date: 10/1/2018

Series 7

Date: 12/16/2002

Series 6

Date: 8/27/2001

Series 51

Date: 1/23/2006

Series 24

Date: 5/5/2005

FINRA

Current Firm

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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