Ryan A. Ulrich

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Tempe, AZ 85251

Some features on this profile are disabled

CRD#: 5910904

Professional summary

Ryan Alan Ulrich, who also goes by Ryan A Ulrich, Ryan A Ulrich, is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in Tempe, Arizona and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Tempe, Arizona.

Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Ryan has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ryan A Ulrich | Ryan A Ulrich

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 Ryan Alan Ulrich'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 8, 2018 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Office #1: 1230 West Washington Street, Tempe, AZ 85251

RIA

CRD#: 105790

Tempe, AZ

Current

December 19, 2017 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Office #1: 1230 West Washington Street Suite 508, Tempe, AZ 85288

CRD#: 28262

Tempe, AZ

Current

March 7, 2023 - Present

JOHN HANCOCK DISTRIBUTORS LLC

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

CRD#: 5249

Boston, MA

Past

October 17, 2018 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

Tempe, AZ

Past

July 1, 2016 - November 30, 2017

MML STRATEGIC DISTRIBUTORS, LLC

CRD#: 168638

Phoenix, AZ

Past

July 1, 2016 - November 30, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

PHOENIX, AZ

Past

April 3, 2014 - December 31, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

SCOTTSDALE, AZ

Past

June 5, 2013 - February 3, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

SCOTTSDALE, AZ

Past

October 1, 2012 - April 4, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

PHOENIX, AZ

Past

May 9, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

PHOENIX, 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

IAR

Arizona
(11/8/2018)

Arkansas
(3/7/2023)

Colorado
(7/11/2022)

Illinois
(3/7/2023)

Indiana
(3/7/2023)

Iowa
(3/7/2023)

Kansas
(7/11/2022)

Louisiana
(3/7/2023)

Massachusetts
(2/20/2018)

IAR

Massachusetts
(11/8/2018)

Michigan
(3/7/2023)

Minnesota
(7/30/2025)

Missouri
(3/7/2023)

Nebraska
(7/11/2022)

Nevada
(3/7/2022)

New Mexico
(1/3/2020)

North Carolina
(3/7/2023)

North Dakota
(7/30/2025)

Ohio
(3/9/2023)

Oklahoma
(3/7/2023)

South Dakota
(7/11/2022)

Texas
(3/7/2023)

Wisconsin
(3/7/2023)

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: 10/11/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/16/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/23/2018

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/6/2011

Investment Company Products/Variable Contracts Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ryan A. Ulrich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Alan Ulrich's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

MML STRATEGIC DISTRIBUTORS, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NYLIFE SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2018

Series 63

Date: 5/16/2011

SIE

Date: 10/1/2018

Series 7

Date: 4/23/2018

Series 6

Date: 5/6/2011

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

Similar Advisors