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KB

Kerrie L. Broughton

Some features on this profile are disabled
CRD#: 4569216
KB

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.

Kerrie Lynn Broughton, who also goes by Kerrie Lynn Nyman, was a registered financial professional .

Kerrie is a previously registered financial professional and started their career in finance in 2002. Kerrie had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kerrie Lynn Nyman

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 21, 2012 - July 31, 2017

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
Boston, MA
Past

December 11, 2008 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
BOSTON, MA
Past

February 23, 2005 - December 31, 2006

JOHN HANCOCK DISTRIBUTORS LLC

RIA
CRD#: 5249
Boston, MA
Past

February 23, 2005 - July 31, 2017

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

February 12, 2003 - December 9, 2004

WADDELL & REED

RIA
CRD#: 866
HARTFORD, CT
Past

November 22, 2002 - December 9, 2004

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

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".
MI
MANULIFE INVESTMENT MANAGEMENT (US) LLC
JOHN HANCOCK ASSET MANAGEMENT | SOVEREIGN ASSET MANAGEMENT LLC | SOVEREIGN ASSET MANAGEMENT CORPORATION | SOVEREIGN ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC | SOVEREIGN ASSET MANAGEMENT A DIVISION OF JOHN HANCOCK ASSET MANAGEMENT | SOVEREIGN ASSET MANAGEMENT | MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC | MANULIFE INVESTMENT MANAGEMENT (US) LLC | MANULIFE INVESTMENT MANAGEMENT | MANULIFE ASSET MANAGEMENT (US) LLC | MANULIFE ASSET MANAGEMENT | JOHN HANCOCK INVESTMENT MANAGEMENT A DIVISION OF MANULIFE INVESTMENT MANAGEMENT US | JOHN HANCOCK ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC

CRD#: 106435 / SEC#: 801-42023

RIA
Registered Investment Advisory firm - (8/4/1992 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/11/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/3/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/21/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MI
MANULIFE INVESTMENT MANAGEMENT (US) LLC
JOHN HANCOCK ASSET MANAGEMENT | SOVEREIGN ASSET MANAGEMENT LLC | SOVEREIGN ASSET MANAGEMENT CORPORATION | SOVEREIGN ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC | SOVEREIGN ASSET MANAGEMENT A DIVISION OF JOHN HANCOCK ASSET MANAGEMENT | SOVEREIGN ASSET MANAGEMENT | MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC | MANULIFE INVESTMENT MANAGEMENT (US) LLC | MANULIFE INVESTMENT MANAGEMENT | MANULIFE ASSET MANAGEMENT (US) LLC | MANULIFE ASSET MANAGEMENT | JOHN HANCOCK INVESTMENT MANAGEMENT A DIVISION OF MANULIFE INVESTMENT MANAGEMENT US | JOHN HANCOCK ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC

CRD#: 106435 / SEC#: 801-42023

RIA
Registered Investment Advisory firm - (8/4/1992 Approved)
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Contact information

Main Address
197 Clarendon St, Boston, MA 02116
Mailing Address
Phone number
(617) 375-1500
Established
Firm type
Fiscal year end
# of Employees
270

SEC notice filing (51 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

MANULIFE INVESTMENT MANAGEMENT (US) LLC FORM ADV PART 2A BROCHURE (7/22/2025)

Regulatory assets under management

Total Number of Accounts4,946
AUM (Assets Under Management)$ 201,358,536,273

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

MANULIFE INVESTMENT MANAGEMENT (US) LLC

CRD#: 106435

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