Kimberly A. Locklear

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CRD#: 5141996

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.

Kimberly Anne Locklear, who also goes by Kimberly Locklear, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 2006. Kimberly had worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kimberly Locklear

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

December 13, 2012 - December 31, 2015

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

ATLANTA, GA

Past

August 8, 2011 - August 13, 2019

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

ATLANTA, GA

Past

November 7, 2008 - February 10, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ATLANTA, GA

Past

November 7, 2008 - February 10, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ATLANTA, GA

Past

April 2, 2007 - November 11, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

ATLANTA, GA

Past

April 2, 2007 - November 11, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

ATLANTA, GA

Past

December 5, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ATLANTA, GA

Past

July 13, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

ATLANTA, GA

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".

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK ASSET MANAGEMENT | SOVEREIGN ASSET MANAGEMENT LLC | SOVEREIGN ASSET MANAGEMENT CORPORATION | SOVEREIGN ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC | SOVEREIGN ASSET MANAGEMENT A DIVISION OF JOHN HANCOCK ASSET MANAGEMENT | SOVEREIGN ASSET MANAGEMENT | MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC | MANULIFE INVESTMENT MANAGEMENT (US) LLC | MANULIFE INVESTMENT MANAGEMENT | MANULIFE ASSET MANAGEMENT (US) LLC | MANULIFE ASSET MANAGEMENT | JOHN HANCOCK INVESTMENT MANAGEMENT A DIVISION OF MANULIFE INVESTMENT MANAGEMENT US | JOHN HANCOCK ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC

CRD#: 106435 / SEC#: 801-42023

RIA

Registered Investment Advisory firm - (8/4/1992 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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/1/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/28/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/12/2006

General Securities Representative Examination

Current Firm

MANULIFE INVESTMENT MANAGEMENT (US) LLC

CRD#: 106435 / SEC#: 801-42023

RIA

Registered Investment Advisory firm - (8/4/1992 Approved)

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Contact information

Main Address

197 Clarendon St, Boston, MA 02116

Mailing Address

Phone number

(617) 375-1500

Established

Firm type

Fiscal year end

# of Employees

270

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MANULIFE INVESTMENT MANAGEMENT (US) LLC FORM ADV PART 2A BROCHURE (7/22/2025)

Regulatory assets under management

Total Number of Accounts	4,946
AUM (Assets Under Management)	$ 201,358,536,273

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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Firm Stability Insights

Kimberly A. Locklear

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JOHN HANCOCK DISTRIBUTORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

MANULIFE INVESTMENT MANAGEMENT (US) LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2006

SIE

Date: 10/1/2018

Series 31

Date: 7/28/2006

Series 7

Date: 7/12/2006

Current Firm

MANULIFE INVESTMENT MANAGEMENT (US) LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MANULIFE INVESTMENT MANAGEMENT (US) LLC

TRUST BUT VERIFY

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