Stephen I. Luna
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.
Stephen Ishbak Luna, who also goes by Stephen I Luna, Stephen Ishbak Luna Carrillo, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2020. Stephen had worked at 4 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2024 - November 10, 2025
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
February 7, 2023 - November 10, 2025
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
July 20, 2022 - July 3, 2024
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 3, 2020 - July 21, 2022
JOHN HANCOCK DISTRIBUTORS LLC
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 6TO
Date: 1/3/2020
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
CRD#: 150842 / SEC#: , 8-68303
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
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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