Lindsay Heather Smith
Professional Summary
Lindsay Heather Smith, who also goes by Lindsay Smith, is a registered financial advisor currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts. Lindsay is registered as a RR (Registered Representative) and started their career in finance in 2005. Lindsay has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lindsay Smith
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
JOHN HANCOCK DISTRIBUTORS LLC | MANULIFE FINANCIAL SECURITIES LLC | MANEQUITY, INC.
Contact Information
Main Address
200 Berkeley Street, Boston, MA 02116Mailing Address
200 Berkeley Street, Boston, MA 02116Phone Number
(617) 663-3021Established
Delaware since 08/01/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| WILHELM, BRYAN GARY | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5611196 |
Disclosures
Regulatory Event
3Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/2/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2005About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Lindsay Heather Smith's CRS (Customer Relationship Summary).
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