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DS

David D. Smith

JOHN HANCOCK INVESTMENT MANAGEMENT LLC
Naperville, IL
Some features on this profile are disabled
CRD#: 5852786
DS

Professional summary

David Duane Smith, who also goes by David Smith, is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in Naperville, Illinois and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Boston, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. David has worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

David Smith

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.
OBA Name: Rental Property Investment-related? No OBA Address: 340 W Superior Apt 812, Chicago, IL 60614 OBA Nature: I rent my old condo out Position, Title, or Relationship with the OBA: Owner OBA Start Date: 12/02/2022 Approximate number of hours/month devoted to the OBA: 0 Number of hours devoted to the OBA during securities trading hours: 0 Brief description duties related to the OBA: No duties, just collect rent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Duane Smith'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

August 4, 2021 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
Naperville, IL
Current

August 4, 2021 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Office #1: 197 Clarendon Street, Boston, MA 02116
BD
CRD#: 28262
Boston, MA
Past

July 12, 2016 - August 10, 2021

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
CHICAGO, IL
Past

July 5, 2016 - August 10, 2021

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
CHICAGO, IL
Past

November 12, 2014 - June 27, 2016

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
CHICAGO, IL
Past

November 11, 2014 - June 27, 2016

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
CHICAGO, IL
Past

June 24, 2013 - October 29, 2014

CAPITAL CLIENT GROUP, INC.

RIA
CRD#: 6247
LOS ANGELES, CA
Past

September 26, 2012 - October 29, 2014

CAPITAL CLIENT GROUP, INC.

BD
CRD#: 6247
LOS ANGELES, CA
Past

December 21, 2010 - August 13, 2012

WILLIAM BLAIR

RIA
CRD#: 1252
CHICAGO, IL
Past

November 16, 2010 - August 13, 2012

WILLIAM BLAIR

BD
CRD#: 1252
CHICAGO, IL

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 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.
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
(8/4/2021)
RR
Alaska
(8/4/2021)
RR
Arizona
(8/4/2021)
RR
Arkansas
(8/4/2021)
RR
California
(8/4/2021)
RR
Colorado
(8/4/2021)
RR
Connecticut
(8/4/2021)
RR
Delaware
(8/4/2021)
RR
District of Columbia
(8/4/2021)
RR
Florida
(8/4/2021)
RR
Georgia
(8/4/2021)
RR
Hawaii
(8/4/2021)
RR
Idaho
(8/4/2021)
RR
Illinois
(8/4/2021)
IAR
Illinois
(8/4/2021)
RR
Indiana
(8/4/2021)
RR
Iowa
(8/4/2021)
RR
Kansas
(8/4/2021)
RR
Kentucky
(8/4/2021)
RR
Louisiana
(8/4/2021)
RR
Maine
(8/4/2021)
RR
Maryland
(8/4/2021)
RR
Massachusetts
(8/4/2021)
IAR
Massachusetts
(8/19/2021)
RR
Michigan
(8/4/2021)
RR
Minnesota
(8/4/2021)
RR
Mississippi
(8/4/2021)
RR
Missouri
(8/4/2021)
RR
Montana
(8/4/2021)
RR
Nebraska
(8/4/2021)
RR
Nevada
(8/4/2021)
RR
New Hampshire
(8/4/2021)
RR
New Jersey
(8/4/2021)
RR
New Mexico
(8/4/2021)
RR
New York
(8/4/2021)
RR
North Carolina
(8/4/2021)
RR
North Dakota
(8/4/2021)
RR
Ohio
(8/4/2021)
RR
Oklahoma
(8/4/2021)
RR
Oregon
(8/4/2021)
RR
Pennsylvania
(8/4/2021)
RR
Puerto Rico
(8/4/2021)
RR
Rhode Island
(8/4/2021)
RR
South Carolina
(8/4/2021)
RR
South Dakota
(8/4/2021)
RR
Tennessee
(8/4/2021)
RR
Texas
(8/4/2021)
RR
Utah
(8/4/2021)
RR
Vermont
(8/4/2021)
RR
Virginia
(8/4/2021)
RR
Washington
(8/4/2021)
RR
West Virginia
(8/4/2021)
RR
Wisconsin
(8/4/2021)
RR
Wyoming
(8/4/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/20/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/25/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/15/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 12/16/2014
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

JH
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)

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

MODEL PORTFOLIOS SERVICES (3/21/2025)
JOHN HANCOCK INVESTMENT MANAGEMENT LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts35,239
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.

Company Information

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

CRD#: 105790Naperville, IL

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