Thomas J. Lyman
Professional summary
Thomas James Lyman 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.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Thomas has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas James Lyman's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2019 - Present
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
Office #1: 200 Berkeley Street, Boston, MA 02116February 22, 2021 - Present
JOHN HANCOCK DISTRIBUTORS LLC
Office #1: 200 Berkeley Street, Boston, MA 02116November 30, 2018 - February 22, 2021
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
Primary Firm SEC Registration
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
CRD#: 174433 / SEC#: 801-80927
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/10/2024)
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(2/6/2019)
(2/22/2021)
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(7/27/2023)
(1/6/2023)
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(9/10/2024)
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(10/28/2024)
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Exams
Series 6TO
Date: 11/30/2018
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
CRD#: 174433 / SEC#: 801-80927
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 32,545 |
| AUM (Assets Under Management) | $ 1,975,740,842 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/21/2025 | ||
| 04/22/2024 | ||
| 01/25/2023 |
Red Flags
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Company Information
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
CRD#: 174433Boston, MA 02116TRUST BUT VERIFY
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