DE
David Liam P. Emerson
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
Providence, RI
Some features on this profile are disabled
CRD#: 7015188
DE
Professional summary
David Liam Parker Emerson, who also goes by David Emerson, David Parker Emerson, is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in Providence, Rhode Island and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Boston, Massachusetts.
David Liam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. David Liam has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Emerson | David Parker Emerson
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.
1.) a. OBA Name: JDJC Enterprises Trattoria Appia b. Investment-related? No c. OBA Address: 245 Atwells Ave, Providence, RI 02903 d. OBA Nature: Event Management e. Position, Title, or Relationship with the OBA: Event Manager (part-time employee) f. OBA Start Date: 09/01/2024 g. Approximate number of hours/month devoted to the OBA: 30 h. Number of hours devoted to the OBA during securities trading hours: 0 i. Brief description duties related to the OBA: Coordinates and manages events at Trattoria Appia. 2.) a. OBA Name: Rental Property b. Investment-related: No c. OBA Address: 126 Greeley St Providence, RI 02904 d. OBA Nature: Rental Property Management e. Position, Title, or Relationship with the OBA: Owner f. OBA Start Date: 09/16/2021 g. Approximate number of hours/month devoted to the OBA: 4 h. Number of hours devoted to the OBA during securities trading hours: 0 i. Brief description duties related to the OBA: Manages tenant screenings, leases, rent collection, and facilitation of maintenance and repairs.
CRS (Client Relationship Summary) - RIA
Click below to view David Liam Parker Emerson'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®
NoneExperience
Current
August 26, 2025 - Present
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
Providence, RI
Current
August 22, 2025 - Present
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
Office #1: 197 Clarendon Street, Boston, MA 02116BD
CRD#: 28262
Boston, MA
Past
February 9, 2022 - April 17, 2024
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
RIA
CRD#: 108257
BOSTON, MA
Past
October 11, 2021 - April 17, 2024
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
Past
March 22, 2019 - October 4, 2021
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 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.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
Arizona(8/26/2025)
RR
Arkansas(8/26/2025)
RR
Colorado(8/26/2025)
RR
Kansas(8/26/2025)
RR
Kentucky(8/26/2025)
RR
Louisiana(8/26/2025)
RR
Massachusetts(8/22/2025)
IAR
Massachusetts(9/9/2025)
RR
Mississippi(8/26/2025)
RR
Missouri(8/26/2025)
RR
New Mexico(8/26/2025)
RR
Oklahoma(8/26/2025)
RR
Rhode Island(8/22/2025)
IAR
Rhode Island(8/26/2025)
RR
Tennessee(8/26/2025)
RR
Texas(8/26/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/4/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 3/22/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JH
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)
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.
