Melanie D. Hartenfels

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Berkeley, CA

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CRD#: 4187478

Professional summary

Melanie Dunn Hartenfels, CFP®, who also goes by Melanie Christina Dunn, Melanie Dunn, Melanie Christina Dunn Hartenfels, Melanie Dunn Hartenfels, is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in Berkeley, California and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Clemson, South Carolina.

Melanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Melanie has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Melanie Christina Dunn | Melanie Dunn | Melanie Christina Dunn Hartenfels | Melanie Dunn Hartenfels

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 Melanie Dunn Hartenfels'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®

CFP^®

Certified Financial Planner

Experience

Current

August 10, 2020 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

Berkeley, CA

Current

July 20, 2020 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

Clemson, SC

Past

July 19, 2019 - July 1, 2020

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

July 19, 2019 - July 1, 2020

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

July 19, 2019 - July 1, 2020

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

Past

June 15, 2018 - May 31, 2019

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

Berkeley, CA

Past

June 13, 2018 - May 31, 2019

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

March 21, 2017 - May 29, 2018

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

April 12, 2011 - March 16, 2017

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

September 21, 2009 - January 21, 2011

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

August 15, 2005 - September 2, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

May 13, 2003 - September 2, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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 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.

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

California
(7/20/2020)

IAR

California
(8/10/2020)

Massachusetts
(7/20/2020)

IAR

Massachusetts
(8/18/2020)

Nevada
(10/28/2020)

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 66

Date: 8/8/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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 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.

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Firm Stability Insights

Melanie D. Hartenfels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melanie Dunn Hartenfels's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

WADDELL & REED

WADDELL & REED

IVY DISTRIBUTORS, INC.

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CAPITAL BROKERAGE CORPORATION

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/8/2005

SIE

Date: 10/1/2018

Series 7

Date: 5/12/2003

FINRA

Current Firm

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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