NS
Nicholas A. Stathos
JOHN HANCOCK PERSONAL FINANCIAL SERVICES
Boston, MA 02116
Some features on this profile are disabled
CRD#: 7797218
NS
Professional summary
Nicholas A Stathos, who also goes by Nic Allen Stathos, is a registered financial advisor currently at JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC located in Boston, Massachusetts and MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC located in Boston, Massachusetts.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Nicholas has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nic Allen Stathos
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) - RIA
Click below to view Nicholas A Stathos'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
April 2, 2024 - Present
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
Office #1: 200 Berkeley Street, Boston, MA 02116RIA
CRD#: 174433
Boston, MA
Current
July 10, 2024 - Present
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
Office #1: 200 Berkeley Street, Boston, MA 02116BD
CRD#: 150842
Boston, MA
Past
November 17, 2023 - July 10, 2024
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
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 PERSONAL FINANCIAL SERVICES, LLC
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
CRD#: 174433 / SEC#: 801-80927
RIA
Registered Investment Advisory firm - (2/13/2015 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
Alabama(7/10/2024)
RR
Alaska(7/10/2024)
RR
Arizona(7/10/2024)
RR
Arkansas(7/10/2024)
RR
California(7/10/2024)
RR
Colorado(7/10/2024)
RR
Connecticut(7/10/2024)
RR
Delaware(7/10/2024)
RR
District of Columbia(7/10/2024)
RR
Florida(7/10/2024)
RR
Georgia(7/10/2024)
RR
Hawaii(7/10/2024)
RR
Idaho(7/10/2024)
RR
Illinois(7/10/2024)
RR
Indiana(7/10/2024)
RR
Iowa(7/10/2024)
RR
Kansas(7/10/2024)
RR
Kentucky(7/10/2024)
RR
Louisiana(7/10/2024)
RR
Maine(7/10/2024)
RR
Maryland(7/10/2024)
IAR
Massachusetts(4/2/2024)
RR
Massachusetts(7/10/2024)
RR
Michigan(7/10/2024)
RR
Minnesota(7/10/2024)
RR
Mississippi(7/10/2024)
RR
Missouri(7/10/2024)
RR
Montana(7/10/2024)
RR
Nebraska(7/10/2024)
RR
Nevada(7/10/2024)
RR
New Hampshire(7/10/2024)
RR
New Jersey(7/10/2024)
RR
New Mexico(7/10/2024)
RR
New York(7/10/2024)
RR
North Carolina(7/10/2024)
RR
North Dakota(7/10/2024)
RR
Ohio(7/10/2024)
RR
Oklahoma(7/10/2024)
RR
Oregon(7/10/2024)
RR
Pennsylvania(7/10/2024)
RR
Rhode Island(7/10/2024)
RR
South Carolina(7/10/2024)
RR
South Dakota(7/10/2024)
RR
Tennessee(7/10/2024)
RR
Texas(7/10/2024)
RR
Utah(7/10/2024)
RR
Vermont(7/10/2024)
RR
Virginia(7/10/2024)
RR
Washington(7/10/2024)
RR
West Virginia(7/10/2024)
RR
Wisconsin(7/10/2024)
RR
Wyoming(7/10/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/17/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JH
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC
CRD#: 174433 / SEC#: 801-80927
RIA
Registered Investment Advisory firm - (2/13/2015 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 Street, Boston, MA 02116
Mailing Address
Phone number
(617) 572-0109
Established
Firm type
Fiscal year end
# of Employees
163
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
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 PERSONAL FINANCIAL SERVICES, LLC
CRD#: 174433Boston, MA 02116TRUST BUT VERIFY
Monitor Nicholas Stathos
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
