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JB

James B. Baker

JOHN HANCOCK INVESTMENT MANAGEMENT LLC
WYOMISSING, PA
Some features on this profile are disabled
CRD#: 3256288
JB

Professional summary

James Bradley Baker, CIMA® is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in Wyomissing, Pennsylvania and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Boston, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 5 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

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 James Bradley Baker'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

November 8, 2018 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
WYOMISSING, PA
Current

April 16, 2021 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Office #1: 197 Clarendon Street, Boston, MA 02116
BD
CRD#: 28262
Boston, MA
Past

October 31, 2018 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
Wyomissing, PA
Past

October 17, 2007 - June 20, 2011

KNOTT CAPITAL MANAGEMENT

RIA
CRD#: 108461
EXTON, PA
Past

August 12, 2002 - April 27, 2007

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
BOSTON, MA
Past

August 9, 2002 - April 27, 2007

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

July 23, 2002 - April 27, 2007

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

May 30, 2001 - July 9, 2002

LEGG MASON WOOD WALKER, INCORPORATED

RIA
CRD#: 6555
BALTIMORE, MD
Past

January 17, 2001 - July 9, 2002

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

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 INVESTMENT MANAGEMENT LLC
JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC

CRD#: 105790 / SEC#: 801-8124

RIA
Registered Investment Advisory firm - (12/12/1971 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
Colorado
(10/17/2025)
RR
Connecticut
(10/20/2025)
RR
District of Columbia
(10/17/2025)
RR
Florida
(10/17/2025)
RR
Idaho
(10/20/2025)
RR
Louisiana
(10/17/2025)
RR
Maryland
(10/17/2025)
IAR
Massachusetts
(11/8/2018)
IAR
Pennsylvania
(12/6/2018)
RR
Puerto Rico
(10/17/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/23/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/9/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/16/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/4/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/9/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

JH
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC

CRD#: 105790 / SEC#: 801-8124

RIA
Registered Investment Advisory firm - (12/12/1971 Approved)
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Contact information

Main Address
200 Berkeley St., Boston, MA 02116-5022
Mailing Address
Phone number
(617) 663-3000
Established
Firm type
Fiscal year end
# of Employees
363

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

MODEL PORTFOLIOS SERVICES (3/21/2025)
JOHN HANCOCK INVESTMENT MANAGEMENT LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts35,239
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.

Company Information

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

CRD#: 105790Wyomissing, PA

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