Tracy B. Hummel

JOHN HANCOCK PERSONAL FINANCIAL SERVICES

Bridgewater, NJ

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CRD#: 4627489

Professional summary

Tracy B Hummel, who also goes by Tracy Beth Hummel, Tracy Beth Trongone, is a registered financial advisor currently at JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC located in Bridgewater, New Jersey and JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.

Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Tracy has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tracy Beth Hummel | Tracy Beth Trongone

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 Tracy B Hummel'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®

None

Experience

Current

May 13, 2021 - Present

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

RIA

CRD#: 174433

Bridgewater, NJ

Current

October 19, 2005 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 200 Berkeley Street, Boston, MA 02116

CRD#: 5249

Boston, MA

Past

December 11, 2012 - December 31, 2015

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

BRIDGEWATER, NJ

Past

December 22, 2008 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

BRIDGEWATER, NJ

Past

October 19, 2005 - December 31, 2006

JOHN HANCOCK DISTRIBUTORS LLC

RIA

CRD#: 5249

PARSIPPANY, NJ

Past

May 4, 2005 - August 15, 2005

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

PARSIPPANY, NJ

Past

April 2, 2003 - August 15, 2005

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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 PERSONAL FINANCIAL SERVICES, LLC

CRD#: 174433 / SEC#: 801-80927

RIA

Registered Investment Advisory firm - (2/13/2015 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

Massachusetts
(10/14/2020)

IAR

Massachusetts
(5/13/2021)

New Jersey
(10/19/2005)

IAR

New Jersey
(5/18/2022)

New York
(10/14/2020)

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: 5/3/2005

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: 3/31/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

CRD#: 174433 / SEC#: 801-80927

RIA

Registered Investment Advisory firm - (2/13/2015 Approved)

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Contact information

Main Address

200 Berkeley Street, Boston, MA 02116

Mailing Address

Phone number

(617) 572-0109

Established

Firm type

Fiscal year end

# of Employees

163

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JOHN HANCOCK PERSONALIZED RETIREMENT ADVICE (3/28/2025)

JOHN HANCOCK MANAGED IRA (3/28/2025)

MANULIFE JOHN HANCOCK PRIVATE WEALTH (3/28/2025)

JH ADVICE FINANCIAL PLANNING (3/28/2025)

MYPORTFOLIO (3/28/2025)

Regulatory assets under management

Total Number of Accounts	32,545
AUM (Assets Under Management)	$ 1,975,740,842

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/21/2025	Cover Page	Report
04/22/2024	Cover Page	Report
01/25/2023	Cover Page	Report

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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Tracy B. Hummel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy B Hummel's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK DISTRIBUTORS LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/3/2005

SIE

Date: 10/1/2018

Series 7

Date: 3/31/2003

FINRA

Current Firm

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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