Gregory J. Poulos
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.
Gregory James Poulos, who also goes by Greg Poulos, Poulos, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1976. Gregory had worked at 11 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2002 - June 21, 2002
JOHN HANCOCK DISTRIBUTORS LLC
February 21, 2001 - December 31, 2012
THE LEADERS GROUP, INC.
February 17, 2000 - May 1, 2000
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 20, 1997 - July 13, 1999
JOHN HANCOCK DISTRIBUTORS LLC
November 20, 1995 - January 17, 1997
LOCUST STREET SECURITIES, INC.
May 6, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 6, 1991 - February 7, 1995
PRUCO SECURITIES, LLC.
December 14, 1989 - March 21, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 1986 - October 30, 1989
MML INVESTORS SERVICES, LLC
June 7, 1984 - May 8, 1986
GUARDIAN INVESTOR SERVICES LLC
January 3, 1980 - February 28, 1984
HOME LIFE INSURANCE COMPANY
April 1, 1976 - October 24, 1979
PRINCIPAL SECURITIES, INC.
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 1
Date: 3/25/1976
Registered Representative ExaminationCurrent Firm
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
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.
