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LS

Lindsay H. Smith

JOHN HANCOCK DISTRIBUTORS LLC
Boston, MA 02116
Some features on this profile are disabled
CRD#: 4827668
LS

Professional summary

Lindsay Heather Smith, who also goes by Lindsay Smith, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lindsay Smith

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 Lindsay Heather Smith's 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

April 2, 2025 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 200 Berkeley Street, Boston, MA 02116
BD
CRD#: 5249
Boston, MA
Past

December 9, 2021 - August 21, 2024

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

July 1, 2016 - October 5, 2021

CLARENDON INSURANCE AGENCY, INC.

BD
CRD#: 7395
WALTHAM, MA
Past

January 3, 2013 - April 3, 2015

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

June 22, 2012 - January 3, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
SIMSBURY, CT
Past

January 29, 2010 - December 31, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
BOSTON, MA
Past

January 30, 2008 - January 26, 2010

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
WALTHAM, MA
Past

November 16, 2005 - November 30, 2007

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
HARTFORD, CT

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
(4/2/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/14/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/15/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JH
JOHN HANCOCK DISTRIBUTORS LLC
JOHN HANCOCK DISTRIBUTORS LLC | MANULIFE FINANCIAL SECURITIES LLC | MANEQUITY, INC.

CRD#: 5249 / SEC#: , 8-15826

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
(617) 663-3021
Established
Delaware since 08/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.)OWNER
BOGLE, JAMES WILLIAMPRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL7344902
HARTIGAN, ROBERT JOSEPHCHIEF COMPLIANCE OFFICER2931786
LANNIGAN, TRACY KANEVICE PRESIDENT & CORPORATE SECRETARY6944688
SILVA, ANTHONY ALEXDIRECTOR7755954
TANKERSLEY, GARY LYNNPRESIDENT & CHIEF EXECUTIVE OFFICER2637199
WALKER, CHRISTOPHER MICHAELVICE PRESIDENT, INVESTMENTS & DIRECTOR4302554

Disclosures

Regulatory Event3
Arbitration3

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

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249Boston, MA 02116

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