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SM

Stephen M. Mccormick

JOHN HANCOCK DISTRIBUTORS LLC
Boston, MA 02116
Some features on this profile are disabled
CRD#: 6966856
SM

Professional summary

Stephen Michael Mccormick Jr., who also goes by Stephen Michael Mccormick, Stephen Mccormick, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2018. Stephen has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Michael Mccormick | Stephen Mccormick

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 Stephen Michael Mccormick Jr.'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

August 30, 2022 - Present

JOHN HANCOCK DISTRIBUTORS LLC

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

September 16, 2021 - April 14, 2022

SANTANDER SECURITIES LLC

RIA
CRD#: 41791
Dorchester, MA
Past

August 4, 2021 - April 14, 2022

SANTANDER SECURITIES LLC

BD
CRD#: 41791
Dorchester, MA
Past

August 18, 2020 - February 5, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
BOSTON, MA
Past

July 3, 2018 - May 2, 2019

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WELLESLEY, MA

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
(8/30/2022)
RR
Rhode Island
(11/2/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/25/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/24/2020
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 7
Date: 7/3/2018
General Securities 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.

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Company Information

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249Boston, MA 02116

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