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Nicole A. Bartolotti

JOHN HANCOCK DISTRIBUTORS LLC
Boston, MA 02116
Some features on this profile are disabled
CRD#: 4748656
NB

Professional summary

Nicole Annette Bartolotti, who also goes by Nicole Annette Bartolotti, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Boston, Massachusetts.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2004. Nicole has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole Annette Bartolotti

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 Nicole Annette Bartolotti'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 3, 2006 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 197 Clarendon Street, Boston, MA 02116
BD
CRD#: 5249
Boston, MA
Current

August 10, 2023 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Office #1: 197 Clarendon Street, Boston, MA 02116
BD
CRD#: 28262
Boston, MA
Current

January 30, 2024 - Present

MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC

Office #1: 200 Berkeley Street, Boston, MA 02116
BD
CRD#: 150842
Boston, MA
Past

December 10, 2004 - January 3, 2006

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
CINCINNATI, OH

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
(5/3/2006)

Exams

State Security Law Exam
RR
Series 63
Date: 6/28/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/28/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/9/2004
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/6/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/30/2017
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MJ
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC | MELIO SECURITIES COMPANY, LLC

CRD#: 150842 / SEC#: , 8-68303

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
(888) 695-4472
Established
Illinois since 04/10/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JOHN HANCOCK SUBSIDIARIES LLCHOLDING COMPANY (100% DIRECT OWNER)
BOGLE, JAMES WILLIAMPRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL7344902
DICKINSON, PAUL WILLIAMCHIEF COMPLIANCE OFFICER2234977
RIDDELL, LAWRENCE LESLIECHAIRMAN, PRESIDENT & CEO2843846

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 JOHN HANCOCK BROKERAGE SERVICES LLC

CRD#: 150842Boston, MA 02116

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