Stephen D. Broach
Professional summary
Stephen D Broach III, who also goes by Trey Broach, Stephen D Broach III III, Stephen D Broach Iii, is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Atlanta, Georgia.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2026. Stephen has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen D Broach III's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 18, 2026 - Present
JOHN HANCOCK DISTRIBUTORS LLC
Office #1: 1050 Crown Pointe Parkway Suite 1100, Atlanta, GA 30338State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
What does exam status mean?
Series 6TO
Passed: 9/18/2026
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current 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 |
| COLLIER, JACLYN ELIZABETH | DIRECTOR | 4510882 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| WILHELM, BRYAN GARY | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5611196 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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