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Sarah A. Frich

JOHN HANCOCK DISTRIBUTORS LLC
Boston, MA 02116
Some features on this profile are disabled
CRD#: 6317861
SF

Professional summary

Sarah Ann Frich, who also goes by Sarah Frich, Sarah Ann Halverson, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 2014. Sarah has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah Frich | Sarah Ann Halverson

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 Sarah Ann Frich'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®
None

Experience

Current

June 21, 2023 - Present

JOHN HANCOCK DISTRIBUTORS LLC

Office #1: 200 Berkeley Street, Boston, MA 02116
BD
CRD#: 5249
Boston, MA
Past

April 1, 2020 - January 31, 2023

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

August 7, 2014 - April 1, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
PLYMOUTH, MN

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
Massachusetts
(7/14/2023)
RR
Minnesota
(6/21/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/23/2014
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 6
Date: 8/7/2014
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JH
JOHN HANCOCK DISTRIBUTORS LLC
JOHN HANCOCK DISTRIBUTORS LLC | MANULIFE FINANCIAL SECURITIES LLC | MANEQUITY, INC.

CRD#: 5249 / SEC#: , 8-15826

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) 663-3021
Established
Delaware since 08/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 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 LIFE INSURANCE COMPANY (U.S.A.)OWNER
BOGLE, JAMES WILLIAMPRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL7344902
HARTIGAN, ROBERT JOSEPHCHIEF COMPLIANCE OFFICER2931786
LANNIGAN, TRACY KANEVICE PRESIDENT & CORPORATE SECRETARY6944688
SILVA, ANTHONY ALEXDIRECTOR7755954
TANKERSLEY, GARY LYNNPRESIDENT & CHIEF EXECUTIVE OFFICER2637199
WALKER, CHRISTOPHER MICHAELVICE PRESIDENT, INVESTMENTS & DIRECTOR4302554

Disclosures

Regulatory Event3
Arbitration3

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 DISTRIBUTORS LLC

CRD#: 5249Boston, MA 02116

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