Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hollis? Claim Your ProfileHollis Smith is a financial advisor with over 20 years of experience in the industry. Currently, Hollis is registered with J.P. Morgan Institutional Investments Inc. and is based in Chicago, Illinois. Previously, Hollis has been associated with John Hancock Distributors LLC, John Hancock Funds, LLC, MetLife Securities Inc., Pioneer Funds Distributor, Inc., and Signator Investors, Inc. Hollis has a broad range of experience in the financial services industry, having worked in various roles and firms throughout their career. Hollis holds the Series 6, 7, 63, and 65 licenses, as well as the SIE exam. Hollis is registered to provide investment advice in Arizona, California, Colorado, Georgia, Illinois, Iowa, Massachusetts, Minnesota, New Jersey, New York, North Carolina, Pennsylvania, Texas, and Wisconsin.
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.
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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2
IL
03/17/2016 - Present
J.p. Morgan Institutional Investments Inc. (CHICAGO IL)
MA
05/09/2011 - 02/05/2016
JOHN HANCOCK DISTRIBUTORS LLC (BOSTON MA)
MA
04/19/2011 - 02/05/2016
JOHN HANCOCK FUNDS, LLC (BOSTON MA)
MA
11/24/2010 - 04/19/2011
METLIFE SECURITIES INC. (WESTBORO MA)
MA
06/29/2004 - 07/28/2010
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
MA
04/09/2001 - 05/21/2004
JOHN HANCOCK FUNDS, LLC (BOSTON MA)
MA
12/17/1999 - 03/22/2001
SIGNATOR INVESTORS, INC. (BOSTON MA)
IA
Issued 03/25/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/2002
Series 7 - General Securities Representative Examination
BC
Issued 12/16/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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