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MC

Maria L. Cipollone

Some features on this profile are disabled
CRD#: 5118817
MC

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.

Maria L Cipollone, who also goes by Maria L. Cipollone, Maria Mitarotonda, was a registered financial professional .

Maria is a previously registered financial professional and started their career in finance in 2007. Maria had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maria L. Cipollone | Maria Mitarotonda

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

January 15, 2020 - October 16, 2024

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

RIA
CRD#: 174433
Armonk, NY
Past

December 19, 2019 - October 16, 2024

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

June 1, 2009 - June 3, 2019

MORGAN STANLEY

RIA
CRD#: 149777
PURCHASE, NY
Past

June 1, 2009 - June 3, 2019

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

September 2, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
GREENWICH, CT
Past

November 20, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
GREENWICH, CT

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".
JH
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/27/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/9/2008
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 7
Date: 11/19/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/14/2016
General Securities Principal Examination

Current Firm

JH
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
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)

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

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 Accounts32,545
AUM (Assets Under Management)$ 1,975,740,842

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

CRD#: 174433

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