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NG

Nicholas Glueckler

Some features on this profile are disabled
CRD#: 6361810
NG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nicholas Glueckler, who also goes by Nicholas J Glueckler, Nicholas Joseph Glueckler, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 2014. Nicholas had worked at 6 firms and has passed the Series 63, Series 66, Series 7 and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas J Glueckler | Nicholas Joseph Glueckler

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 8, 2021 - March 23, 2026

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
Tempe, AZ
Past

October 7, 2021 - March 23, 2026

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
Tempe, AZ
Past

January 27, 2020 - October 6, 2021

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
Scottsdale, AZ
Past

October 9, 2018 - January 27, 2020

MORGAN STANLEY

BD
CRD#: 149777
GILBERT, AZ
Past

September 19, 2018 - January 27, 2020

MORGAN STANLEY

RIA
CRD#: 149777
GILBERT, AZ
Past

June 23, 2017 - August 17, 2018

EDELMAN FINANCIAL ENGINES

RIA
CRD#: 104510
PHOENIX, AZ
Past

November 12, 2014 - May 27, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WASHINGTON, DC
Past

August 22, 2014 - May 27, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WASHINGTON, DC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/12/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/27/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/9/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/27/2016
Securities Industry Essentials Examination

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)
PREMIUM
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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)

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 (12/17/2025)
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#: 105790

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