TN
Tracy T. Ngo
JOHN HANCOCK DISTRIBUTORS LLC
Boston, MA 02116
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CRD#: 7208630
TN
Professional summary
Tracy T Ngo, who also goes by Tracy T Nguyen, Tracy Ta Nguyen, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Boston, Massachusetts.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 2021. Tracy has worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tracy T Nguyen | Tracy Ta Nguyen
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.
CRS (Client Relationship Summary) - BD
Click below to view Tracy T Ngo'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
September 16, 2021 - Present
JOHN HANCOCK DISTRIBUTORS LLC
Office #1: 200 Berkeley Street, Boston, MA 02116BD
CRD#: 5249
Boston, MA
Past
March 11, 2021 - September 16, 2021
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
March 10, 2021 - March 12, 2021
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, 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
Alabama(10/7/2024)
RR
Alaska(10/7/2024)
RR
Arizona(10/7/2024)
RR
Arkansas(10/7/2024)
RR
California(10/7/2024)
RR
Colorado(10/7/2024)
RR
Connecticut(10/7/2024)
RR
Delaware(10/7/2024)
RR
District of Columbia(10/7/2024)
RR
Florida(10/7/2024)
RR
Georgia(10/7/2024)
RR
Hawaii(10/7/2024)
RR
Idaho(10/7/2024)
RR
Illinois(10/7/2024)
RR
Indiana(10/7/2024)
RR
Iowa(10/7/2024)
RR
Kansas(10/7/2024)
RR
Kentucky(10/7/2024)
RR
Louisiana(10/7/2024)
RR
Maine(10/7/2024)
RR
Maryland(10/7/2024)
RR
Massachusetts(9/16/2021)
RR
Michigan(10/7/2024)
RR
Minnesota(10/7/2024)
RR
Mississippi(10/7/2024)
RR
Missouri(10/7/2024)
RR
Montana(10/7/2024)
RR
Nebraska(10/7/2024)
RR
Nevada(10/7/2024)
RR
New Hampshire(10/7/2024)
RR
New Jersey(10/7/2024)
RR
New Mexico(10/7/2024)
RR
New York(10/7/2024)
RR
North Carolina(10/7/2024)
RR
North Dakota(10/7/2024)
RR
Ohio(10/7/2024)
RR
Oklahoma(10/7/2024)
RR
Oregon(10/7/2024)
RR
Pennsylvania(10/7/2024)
RR
Rhode Island(10/7/2024)
RR
South Carolina(10/7/2024)
RR
South Dakota(10/7/2024)
RR
Tennessee(10/7/2024)
RR
Texas(10/7/2024)
RR
Utah(10/7/2024)
RR
Vermont(10/7/2024)
RR
Virginia(10/7/2024)
RR
Washington(10/7/2024)
RR
West Virginia(10/7/2024)
RR
Wisconsin(10/7/2024)
RR
Wyoming(10/7/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/10/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
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)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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 DISTRIBUTORS LLC
CRD#: 5249Boston, MA 02116TRUST BUT VERIFY
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