Arthur T. Pilkington
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Arthur T Pilkington was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 2001. Arthur had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2017 - December 11, 2017
JOHN HANCOCK DISTRIBUTORS LLC
April 22, 2015 - June 17, 2016
SIGNATOR INVESTORS, INC.
April 14, 2015 - June 17, 2016
SIGNATOR INVESTORS, INC.
November 12, 2013 - April 15, 2015
NYLIFE DISTRIBUTORS LLC
October 15, 2013 - April 15, 2015
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
September 15, 2011 - December 7, 2011
WADDELL & REED
February 16, 2011 - December 7, 2011
WADDELL & REED
March 17, 2005 - January 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 22, 2001 - November 17, 2004
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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