Daniel V. Fratalia

JOHN HANCOCK DISTRIBUTORS LLC

Boston, MA 02116

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CRD#: 5327450

Professional summary

Daniel V Fratalia is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 6 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

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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

February 17, 2021 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 200 Berkeley Street, Boston, MA 02116

CRD#: 5249

Boston, MA

Past

January 2, 2015 - February 16, 2021

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

Boston, MA

Past

April 14, 2010 - January 2, 2015

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

October 23, 2009 - March 16, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WALTHAM, MA

Past

November 10, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

WALTHAM, MA

Past

July 10, 2007 - November 7, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(2/27/2025)

Connecticut
(2/17/2021)

Delaware
(9/22/2023)

Florida
(9/11/2024)

Illinois
(9/19/2024)

Maine
(2/17/2021)

Massachusetts
(2/17/2021)

New Hampshire
(2/17/2021)

New Jersey
(9/22/2023)

New York
(2/17/2021)

Pennsylvania
(9/22/2023)

Rhode Island
(2/17/2021)

Vermont
(2/17/2021)

Exams

State Security Law Exam

Series 63

Date: 8/10/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/9/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

JOHN HANCOCK DISTRIBUTORS LLC

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

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

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)

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
TANKERSLEY, GARY LYNN	PRESIDENT & CHIEF EXECUTIVE OFFICER	2637199
WALKER, CHRISTOPHER MICHAEL	VICE PRESIDENT, INVESTMENTS & DIRECTOR	4302554

Disclosures

Regulatory Event	3
Arbitration	3

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Daniel V. Fratalia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel V Fratalia's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/10/2007

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/9/2007

FINRA

Current Firm

JOHN HANCOCK DISTRIBUTORS LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JOHN HANCOCK DISTRIBUTORS LLC

TRUST BUT VERIFY

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