Nicholas Glueckler

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Tempe, AZ 85251

Some features on this profile are disabled

CRD#: 6361810

Professional summary

Nicholas Glueckler, who also goes by Nicholas J Glueckler, Nicholas Joseph Glueckler, 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.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Nicholas has worked at 6 firms and has passed the Series 63, Series 66, Series 7 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Nicholas Glueckler'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

October 8, 2021 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

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

RIA

CRD#: 105790

Tempe, AZ

Current

October 7, 2021 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

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

CRD#: 28262

Tempe, AZ

Past

January 27, 2020 - October 6, 2021

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

CRD#: 30107

Scottsdale, AZ

Past

October 9, 2018 - January 27, 2020

MORGAN STANLEY

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

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".

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

Arizona
(10/8/2021)

IAR

Arizona
(10/8/2021)

California
(10/7/2021)

Massachusetts
(10/7/2021)

IAR

Massachusetts
(10/25/2021)

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

Series 63

Date: 11/12/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/27/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/9/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/27/2016

Securities Industry Essentials 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

Nicholas Glueckler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Glueckler's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

MORGAN STANLEY

MORGAN STANLEY

EDELMAN FINANCIAL ENGINES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/12/2018

Series 66

Date: 10/27/2014

Series 7

Date: 10/9/2018

SIE

Date: 5/27/2016

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