Anna C. Slater
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.
Anna Cristina Slater was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 2015. Anna had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2019 - December 1, 2020
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
May 31, 2019 - December 1, 2020
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
December 1, 2017 - May 22, 2019
NORTHERN TRUST SECURITIES, INC.
September 3, 2015 - August 16, 2016
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
CRD#: 105790 / SEC#: 801-8124
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/6/2019
General Securities Representative ExaminationCurrent Firm
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
CRD#: 105790 / SEC#: 801-8124
Contact information
SEC notice filing (53 States and Territories)
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.
