Ricardo A. Cervantes

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Boston, MA 02116

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CRD#: 5406145

Professional summary

Ricardo Armando Cervantes, who also goes by Ricardo Armando Cervantes, Ricky Cervantes, is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in Boston, Massachusetts and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Boston, Massachusetts.

Ricardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Ricardo has worked at 3 firms and has passed the Series 66, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ricardo Armando Cervantes | Ricky Cervantes

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) - RIA

Click below to view Ricardo Armando Cervantes's CRS (Customer Relationship Summary).

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

November 6, 2020 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Office #1: 197 Clarendon St, Boston, MA 02116

RIA

CRD#: 105790

Boston, MA

Current

May 14, 2020 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Office #1: 197 Clarendon Street, Boston, MA 02116

CRD#: 28262

Boston, MA

Past

November 9, 2009 - April 30, 2020

EDWARD JONES

RIA

CRD#: 250

TEMPE, AZ

Past

October 2, 2009 - April 30, 2020

EDWARD JONES

CRD#: 250

TEMPE, AZ

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".

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC

CRD#: 105790 / SEC#: 801-8124

RIA

Registered Investment Advisory firm - (12/12/1971 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(5/14/2020)

IAR

Arizona
(11/6/2020)

Arkansas
(7/12/2022)

Colorado
(7/12/2022)

Idaho
(7/12/2022)

Illinois
(7/21/2022)

Iowa
(7/12/2022)

Kansas
(7/13/2022)

Kentucky
(7/12/2022)

Louisiana
(7/19/2022)

Massachusetts
(5/14/2020)

IAR

Massachusetts
(11/23/2020)

Missouri
(7/13/2022)

Montana
(7/11/2022)

Nebraska
(7/12/2022)

Nevada
(7/22/2022)

Ohio
(7/11/2022)

Oklahoma
(7/11/2022)

Tennessee
(1/18/2022)

Texas
(5/14/2020)

Utah
(7/12/2022)

West Virginia
(7/14/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/28/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/25/2015

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/30/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/17/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK ADVISERS, INC | JOHN HANCOCK INVESTMENT MANAGEMENT, LLC | JOHN HANCOCK INVESTMENT MANAGEMENT LLC | JOHN HANCOCK ADVISERS, LLC

CRD#: 105790 / SEC#: 801-8124

RIA

Registered Investment Advisory firm - (12/12/1971 Approved)

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Contact information

Main Address

200 Berkeley St., Boston, MA 02116-5022

Mailing Address

Phone number

(617) 663-3000

Established

Firm type

Fiscal year end

# of Employees

363

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MODEL PORTFOLIOS SERVICES (3/21/2025)

JOHN HANCOCK INVESTMENT MANAGEMENT LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts	35,239
AUM (Assets Under Management)	$ 202,193,176,436

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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Advisor Monitoring

Firm Stability Insights

Ricardo A. Cervantes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo Armando Cervantes's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/28/2009

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/25/2015

Series 7

Date: 9/30/2009

Series 24

Date: 1/17/2024

FINRA

Current Firm

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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