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LC

Lauren M. Carlson

JOHN HANCOCK PERSONAL FINANCIAL SERVICES
Boston, MA 02116
Some features on this profile are disabled
CRD#: 6715510
LC

Professional summary

Lauren Michelle Carlson is a registered financial advisor currently at JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC located in Boston, Massachusetts and JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.

Lauren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Lauren has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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.
OBA Details: a. OBA Name: Island Creek Oyster Bar b. Investment-related: No c. OBA Address: 99 Autumn Lane, Boston, MA 02210 d. OBA Nature: Restaurant e. Position, Title, or Relationship with the OBA: Waiter/Waitress f. OBA Start Date: 06/04/2025 g. Approximate number of hours/month devoted to the OBA: 60 h. Number of hours devoted to the OBA during securities trading hours: 0 i. Brief description duties related to the OBA: Serve food and drinks to customers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lauren Michelle Carlson'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

November 14, 2018 - Present

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

Office #1: 200 Berkeley Street, Boston, MA 02116
RIA
CRD#: 174433
Boston, MA
Current

August 20, 2021 - Present

JOHN HANCOCK DISTRIBUTORS LLC

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

July 26, 2018 - August 20, 2021

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

November 17, 2016 - July 26, 2018

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA

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 PERSONAL FINANCIAL SERVICES, LLC
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

CRD#: 174433 / SEC#: 801-80927

RIA
Registered Investment Advisory firm - (2/13/2015 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.
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

IAR
Massachusetts
(11/14/2018)
RR
Massachusetts
(8/20/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/14/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/11/2017
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: 11/17/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JH
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

CRD#: 174433 / SEC#: 801-80927

RIA
Registered Investment Advisory firm - (2/13/2015 Approved)
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Contact information

Main Address
200 Berkeley Street, Boston, MA 02116
Mailing Address
Phone number
(617) 572-0109
Established
Firm type
Fiscal year end
# of Employees
163

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

JOHN HANCOCK PERSONALIZED RETIREMENT ADVICE (3/28/2025)
JOHN HANCOCK MANAGED IRA (3/28/2025)
MANULIFE JOHN HANCOCK PRIVATE WEALTH (3/28/2025)
JH ADVICE FINANCIAL PLANNING (3/28/2025)
MYPORTFOLIO (3/28/2025)

Regulatory assets under management

Total Number of Accounts32,545
AUM (Assets Under Management)$ 1,975,740,842

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/21/2025
Cover Page
Report
04/22/2024
Cover Page
Report
01/25/2023
Cover Page
Report

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 PERSONAL FINANCIAL SERVICES, LLC

CRD#: 174433Boston, MA 02116

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