BS
Benjamin R. Spitz
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
Boston, MA 02116
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CRD#: 5405858
BS
Professional summary
Benjamin Robert Spitz, who also goes by Benjamin R Spitz, is a registered financial professional currently at JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Boston, Massachusetts.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2007. Benjamin has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Benjamin R Spitz
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.
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Robert Spitz'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®
NoneExperience
Current
June 3, 2022 - Present
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
Office #1: 197 Clarendon Street, Boston, MA 02116BD
CRD#: 28262
Boston, MA
Past
June 3, 2022 - December 4, 2023
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
March 29, 2018 - May 16, 2022
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
Past
May 15, 2013 - March 5, 2018
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
BOSTON, MA
Past
December 20, 2007 - March 4, 2013
OPPENHEIMER & CO. INC.
BD
CRD#: 249
BOSTON, MA
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
Alabama(6/10/2022)
RR
Alaska(6/3/2022)
RR
Arizona(6/20/2022)
RR
Arkansas(6/9/2022)
RR
California(6/16/2022)
RR
Colorado(6/3/2022)
RR
Connecticut(6/3/2022)
RR
Delaware(6/7/2022)
RR
District of Columbia(6/10/2022)
RR
Florida(6/13/2022)
RR
Georgia(6/6/2022)
RR
Hawaii(7/13/2022)
RR
Idaho(6/8/2022)
RR
Illinois(6/8/2022)
RR
Indiana(6/17/2022)
RR
Iowa(6/9/2022)
RR
Kansas(6/3/2022)
RR
Kentucky(6/8/2022)
RR
Louisiana(6/7/2022)
RR
Maine(6/3/2022)
RR
Maryland(6/7/2022)
RR
Massachusetts(6/3/2022)
RR
Michigan(6/8/2022)
RR
Minnesota(6/6/2022)
RR
Mississippi(6/10/2022)
RR
Missouri(6/3/2022)
RR
Montana(6/3/2022)
RR
Nebraska(6/3/2022)
RR
Nevada(5/13/2024)
RR
New Hampshire(6/9/2022)
RR
New Jersey(6/3/2022)
RR
New Mexico(6/3/2022)
RR
New York(6/9/2022)
RR
North Carolina(6/6/2022)
RR
North Dakota(6/13/2022)
RR
Ohio(6/3/2022)
RR
Oklahoma(6/7/2022)
RR
Oregon(6/13/2022)
RR
Pennsylvania(6/6/2022)
RR
Puerto Rico(6/8/2022)
RR
Rhode Island(6/10/2022)
RR
South Carolina(6/7/2022)
RR
South Dakota(7/15/2022)
RR
Tennessee(6/10/2022)
RR
Texas(6/3/2022)
RR
Utah(6/15/2022)
RR
Vermont(6/3/2022)
RR
Virginia(7/26/2022)
RR
Washington(6/6/2022)
RR
West Virginia(6/9/2022)
RR
Wisconsin(6/6/2022)
RR
Wyoming(6/9/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JH
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
JOHN HANCOCK BROKER DISTRIBUTION SERVICES, INC. | JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC | JOHN HANCOCK FUNDS, LLC | JOHN HANCOCK FUNDS, INC.
CRD#: 28262 / SEC#: , 8-43582
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) 663-3000
Established
Delaware since 02/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK INVESTMENT MANAGEMENT LLC | PARENT | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| DUCKWORTH, JEFFREY OWEN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2429017 |
| FEINBERG, KRISTIE MARIE | CHAIRMAN | 3162040 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| MCFETRIDGE, ANDREW JOHN | DIRECTOR | 2516238 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 2 |
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 INVESTMENT MANAGEMENT DISTRIBUTORS LLC
CRD#: 28262Boston, MA 02116TRUST BUT VERIFY
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