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HS

Howard E. Sullivan

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
Boston, MA 02116
Some features on this profile are disabled
CRD#: 4394524
HS

Professional summary

Howard Edwards Sullivan, who also goes by Howard Edward Sullivan, Howard Edwards Sullivan III, Howard Edwards Sullivan, is a registered financial professional currently at JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Boston, Massachusetts.

Howard is registered as a RR (Registered Representative) and started their career in finance in 2001. Howard has worked at 5 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Howard Edward Sullivan | Howard Edwards Sullivan Iii | Howard Edwards Sullivan

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) - BD

Click below to view Howard Edwards Sullivan's 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

October 28, 2021 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Office #1: 200 Berkeley Street, Boston, MA 02116
BD
CRD#: 28262
Boston, MA
Past

February 6, 2017 - November 4, 2019

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
Greenwich, CT
Past

March 11, 2015 - May 23, 2016

CVP CAPITAL LLC

BD
CRD#: 165602
Greenwich, CT
Past

February 29, 2008 - June 26, 2009

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

September 25, 2001 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Massachusetts
(10/28/2021)
RR
New York
(10/28/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/19/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

JH
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
JOHN HANCOCK BROKER DISTRIBUTION SERVICES, INC. | JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC | JOHN HANCOCK FUNDS, LLC | JOHN HANCOCK FUNDS, INC.

CRD#: 28262 / SEC#: , 8-43582

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
200 Berkeley Street, Boston, MA 02116
Mailing Address
200 Berkeley Street, Boston, MA 02116
Phone number
(617) 663-3000
Established
Delaware since 02/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
JOHN HANCOCK INVESTMENT MANAGEMENT LLCPARENT
BOGLE, JAMES WILLIAMPRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL7344902
DUCKWORTH, JEFFREY OWENPRESIDENT AND CHIEF EXECUTIVE OFFICER2429017
FEINBERG, KRISTIE MARIECHAIRMAN3162040
HARTIGAN, ROBERT JOSEPHCHIEF COMPLIANCE OFFICER2931786
MCFETRIDGE, ANDREW JOHNDIRECTOR2516238
WALTERS, GINA GOLDYCHDIRECTOR5095838

Disclosures

Regulatory Event2

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 DISTRIBUTORS LLC

CRD#: 28262Boston, MA 02116

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