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AV

Aaron D. Van Ommering

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
Tempe, AZ 85288
Some features on this profile are disabled
CRD#: 6223291
AV

Professional summary

Aaron David Van Ommering, CFP® is a registered financial professional currently at JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Tempe, Arizona.

Aaron is registered as a RR (Registered Representative) and started their career in finance in 2013. Aaron has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

Click below to view Aaron David Van Ommering'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®
CFP®

Certified Financial Planner

Experience

Current

August 14, 2019 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Office #1: 1230 West Washington Street Suite 508, Tempe, AZ 85288
BD
CRD#: 28262
Tempe, AZ
Past

June 25, 2018 - July 2, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Milwaukee, WI
Past

October 23, 2017 - June 11, 2018

LEARNVEST PLANNING SERVICES, LLC

RIA
CRD#: 162453
Scottsdale, AZ
Past

April 11, 2017 - September 20, 2017

FALCON WEALTH PLANNING, INC.

RIA
CRD#: 174092
ONTARIO, CA
Past

August 6, 2013 - March 23, 2017

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ

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
Arizona
(8/14/2019)
RR
Arkansas
(5/10/2021)
RR
Colorado
(6/14/2023)
RR
Idaho
(5/10/2021)
RR
Illinois
(8/14/2019)
RR
Indiana
(8/14/2019)
RR
Iowa
(5/10/2021)
RR
Kansas
(5/10/2021)
RR
Kentucky
(8/24/2020)
RR
Louisiana
(5/10/2021)
RR
Massachusetts
(8/14/2019)
RR
Missouri
(5/10/2021)
RR
Montana
(5/10/2021)
RR
Nebraska
(5/10/2021)
RR
Nevada
(5/10/2021)
RR
Ohio
(5/10/2021)
RR
Oklahoma
(5/10/2021)
RR
Tennessee
(5/10/2021)
RR
Texas
(5/10/2021)
RR
Utah
(5/10/2021)
RR
West Virginia
(5/10/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 8/14/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/5/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/26/2024
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JOHN HANCOCK INVESTMENT MANAGEMENT LLCPARENT
BOGLE, JAMES WILLIAMPRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL7344902
DUCKWORTH, JEFFREY OWENPRESIDENT AND CHIEF EXECUTIVE OFFICER2429017
FEINBERG, KRISTIE MARIECHAIRMAN3162040
HARTIGAN, ROBERT JOSEPHCHIEF COMPLIANCE OFFICER2931786
MCFETRIDGE, ANDREW JOHNDIRECTOR2516238
WALTERS, GINA GOLDYCHDIRECTOR5095838

Disclosures

Regulatory Event2

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#: 28262Tempe, AZ 85288

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