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DT

David L. Tieman

Some features on this profile are disabled
CRD#: 821350
DT

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.

David Lorne Tieman was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1976. David had worked at 12 firms and has passed the Series 63, Series 65, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 29, 2010 - January 4, 2013

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

November 29, 2010 - January 3, 2013

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

December 3, 2008 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
WESTFIELD, NJ
Past

August 22, 2002 - December 31, 2006

JOHN HANCOCK DISTRIBUTORS LLC

RIA
CRD#: 5249
WESTFIELD, NJ
Past

January 1, 2002 - December 1, 2010

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

December 10, 2001 - January 1, 2002

MANULIFE WOOD LOGAN, INC.

BD
CRD#: 19177
STAMFORD, CT
Past

September 1, 1998 - November 16, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 19, 1996 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

February 24, 1993 - December 1, 1995

MANULIFE WOOD LOGAN, INC.

BD
CRD#: 19177
STAMFORD, CT
Past

March 9, 1987 - November 6, 1992

MFS FINANCIAL SERVICES, INC.

BD
CRD#: 18309
BOSTON, MA
Past

December 21, 1985 - January 15, 1987

MONARCH FINANCIAL SERVICES, INC.

BD
CRD#: 8520
Past

October 29, 1982 - May 20, 1987

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

November 28, 1978 - December 8, 1982

JAY W. KAUFMANN & CO.

BD
CRD#: 2402
Past

April 20, 1976 - January 11, 1979

WADDELL & REED

BD
CRD#: 866

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".
MI
MANULIFE INVESTMENT MANAGEMENT (US) LLC
JOHN HANCOCK ASSET MANAGEMENT | SOVEREIGN ASSET MANAGEMENT LLC | SOVEREIGN ASSET MANAGEMENT CORPORATION | SOVEREIGN ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC | SOVEREIGN ASSET MANAGEMENT A DIVISION OF JOHN HANCOCK ASSET MANAGEMENT | SOVEREIGN ASSET MANAGEMENT | MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC | MANULIFE INVESTMENT MANAGEMENT (US) LLC | MANULIFE INVESTMENT MANAGEMENT | MANULIFE ASSET MANAGEMENT (US) LLC | MANULIFE ASSET MANAGEMENT | JOHN HANCOCK INVESTMENT MANAGEMENT A DIVISION OF MANULIFE INVESTMENT MANAGEMENT US | JOHN HANCOCK ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC

CRD#: 106435 / SEC#: 801-42023

RIA
Registered Investment Advisory firm - (8/4/1992 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/2011
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/8/1997
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1978
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 4/9/1976
Registered Representative Examination

Current Firm

MI
MANULIFE INVESTMENT MANAGEMENT (US) LLC
JOHN HANCOCK ASSET MANAGEMENT | SOVEREIGN ASSET MANAGEMENT LLC | SOVEREIGN ASSET MANAGEMENT CORPORATION | SOVEREIGN ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC | SOVEREIGN ASSET MANAGEMENT A DIVISION OF JOHN HANCOCK ASSET MANAGEMENT | SOVEREIGN ASSET MANAGEMENT | MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC | MANULIFE INVESTMENT MANAGEMENT (US) LLC | MANULIFE INVESTMENT MANAGEMENT | MANULIFE ASSET MANAGEMENT (US) LLC | MANULIFE ASSET MANAGEMENT | JOHN HANCOCK INVESTMENT MANAGEMENT A DIVISION OF MANULIFE INVESTMENT MANAGEMENT US | JOHN HANCOCK ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC

CRD#: 106435 / SEC#: 801-42023

RIA
Registered Investment Advisory firm - (8/4/1992 Approved)
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Contact information

Main Address
197 Clarendon St, Boston, MA 02116
Mailing Address
Phone number
(617) 375-1500
Established
Firm type
Fiscal year end
# of Employees
270

SEC notice filing (51 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

MANULIFE INVESTMENT MANAGEMENT (US) LLC FORM ADV PART 2A BROCHURE (7/22/2025)

Regulatory assets under management

Total Number of Accounts4,946
AUM (Assets Under Management)$ 201,358,536,273

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

MANULIFE INVESTMENT MANAGEMENT (US) LLC

CRD#: 106435

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