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David Duane Smith

John Hancock Investment Management LLC

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About David Duane Smith

David Duane Smith is an investment advisor representative registered with John Hancock Investment Management LLC. David Smith has been in the securities industry since January 16, 2011. David Smith is currently registered with FINRA and the state of Illinois. David Smith is also registered with the state of Massachusetts. David Smith has a Series 66 license which is a Uniform Combined State Law Examination. David Smith also has Series 7, Series 3 and Series 30 licenses. David Smith has been registered with the following firms: RBC CAPITAL MARKETS, LLC; CREDIT SUISSE SECURITIES (USA) LLC; AMERICAN FUNDS DISTRIBUTORS, INC.; and WILLIAM BLAIR & COMPANY L.L.C.. David Smith has an active role in renting out his old condo in Chicago. David Smith is currently employed by John Hancock Investment Management LLC.

Firm Information

David Smith is currently registered with John Hancock Investment Management LLC. John Hancock Investment Management LLC is a Boston, MA-based investment advisor with $189,588,843,467 in regulatory assets under management. They advise individuals, investment companies, and proprietary accounts in model portfolios, with a total of 28,802 accounts. They offer portfolio management services and participate in wrap fee programs.
John Hancock Investment Management LLC

200 BERKELEY ST.

BOSTON, MA 02116-5022

$189.59B

Assets Under Management

1

Total Clients

169

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Smith’s Registration & Firm History

MA

08/19/2021 - Present

John Hancock Investment Management LLC (BOSTON MA)

IL

07/05/2016 - 08/10/2021

RBC CAPITAL MARKETS, LLC (CHICAGO IL)

IL

11/11/2014 - 06/27/2016

CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)

CA

09/26/2012 - 10/29/2014

AMERICAN FUNDS DISTRIBUTORS, INC. (LOS ANGELES CA)

IL

11/16/2010 - 08/13/2012

WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)

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Licenses & Designations

BOTH

Issued 12/20/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/16/2014

Series 30 - NFA Branch Manager Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/25/2014

Series 3 - National Commodity Futures Examination

BC

Issued 11/15/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Duane Smith.
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