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RP

Riley Prattson

JOHN HANCOCK INVESTMENT MANAGEMENT LLC
Tempe, AZ
Some features on this profile are disabled
CRD#: 7519399
RP

Professional summary

Riley Prattson is a registered financial advisor currently at JOHN HANCOCK INVESTMENT MANAGEMENT LLC located in Tempe, Arizona and JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC located in Tempe, Arizona.

Riley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Riley has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Riley Prattson's CRS (Customer Relationship Summary).
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

November 21, 2023 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

Office #2: 1230 West Washington Street Suite 508, Tempe, AZ 85288
RIA
CRD#: 105790
Tempe, AZ
Current

September 13, 2023 - Present

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Office #1: 1230 West Washington Street Suite 508, Tempe, AZ 85288
BD
CRD#: 28262
Tempe, AZ

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
Alaska
(11/22/2023)
RR
Arizona
(11/22/2023)
IAR
Arizona
(11/22/2023)
RR
Arkansas
(1/7/2025)
RR
California
(11/22/2023)
RR
Colorado
(11/22/2023)
RR
Hawaii
(1/7/2025)
RR
Idaho
(11/22/2023)
RR
Kansas
(11/22/2023)
IAR
Massachusetts
(11/21/2023)
RR
Massachusetts
(11/22/2023)
RR
Montana
(11/22/2023)
RR
Nebraska
(11/22/2023)
RR
Nevada
(11/22/2023)
RR
New Mexico
(11/22/2023)
RR
North Dakota
(11/22/2023)
RR
Oklahoma
(1/7/2025)
RR
Oregon
(11/22/2023)
RR
South Dakota
(11/22/2023)
RR
Texas
(11/22/2023)
RR
Utah
(11/22/2023)
RR
Washington
(11/22/2023)
RR
Wyoming
(11/22/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/15/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/13/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/5/2023
Securities Industry Essentials Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MODEL PORTFOLIOS SERVICES (3/21/2025)
JOHN HANCOCK INVESTMENT MANAGEMENT LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts35,239
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.

Company Information

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

CRD#: 105790Tempe, AZ

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