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Walter Lee Small

John Hancock Investment Management LLC

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About Walter Lee Small

Walter Small has been a registered investment advisor for over 20 years. Walter is currently registered with John Hancock Investment Management LLC and has been with the firm since 2017. Previously, Walter worked at Lincoln Financial Distributors, Inc., AXA Distributors, LLC, Planco Financial Services, Inc. and J.C. Bradford & Co.. Walter is licensed in 32 states and holds the Series 63, 66, 24, 26 and 7 licenses. Walter specializes in providing investment advice to individuals and investment companies.

Firm Information

Walter Small 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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Walter Small’s Registration & Firm History

MA

01/01/2025 - Present

John Hancock Investment Management LLC (BOSTON MA)

TN

08/05/2010 - 01/04/2017

LINCOLN FINANCIAL DISTRIBUTORS, INC. (FRANKLIN TN)

NC

12/19/2006 - 08/04/2010

AXA DISTRIBUTORS, LLC (CHARLOTTE NC)

TN

11/01/2004 - 12/06/2006

LINCOLN FINANCIAL DISTRIBUTORS, INC. (FRANKLIN TN)

CT

08/02/2000 - 10/19/2004

PLANCO FINANCIAL SERVICES, INC. (HARTFORD CT)

NY

03/18/1998 - 07/06/2000

J.C. BRADFORD & CO. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/17/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/19/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/05/2017

Series 24 - General Securities Principal Examination

BC

Issued 06/05/2006

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/17/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Walter Lee Small.
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