JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 174433). Regulatory assets under management: $2.2B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Philip Joseph Fontana | ELECTED MANAGER/DIRECTOR | — |
| Betsy Anne Seel | COUNSEL, SECRETARY | — |
| Robert Joseph Hartigan | CHIEF COMPLIANCE OFFICER | — |
| Gregory Daniel Brogan | CHIEF OPERATIONS OFFICER | — |
| Meredith A Crowley | ELECTED MANAGER / DIRECTOR | — |
| Douglas J Comer | PRESIDENT; PRESIDENT / DIRECTOR; PRESIDENT/DIRECTOR | — |
| Katie M Firth | ELECTED MANAGER / DIRECTOR | — |
| William Adam Auger | CHIEF FINANCIAL OFFICER | — |
| Jeffrey Howard Nataupsky | CHIEF FINANCIAL OFFICER | — |
| KNOX FRANCIS VINCENT | CHIEF COMPLIANCE OFFICER | — |
| FONTANA VICTOR JOSEPH | ELECTED MANAGER/DIRECTOR; PRESIDENT; ELECTED MANAGER/DIRECTOR | — |
| SEEL BETSY | COUNSEL, SECRETARY | — |
| SEEL BETSY ANNE | COUNSEL, SECRETARY | — |
| RAMZA TIM WILLIAM | DIRECTOR, PRESIDENT; ELECTED MANAGER / DIRECTOR; ELECTED MANAGER/DIRECTOR, PRESIDENT | — |
| GRISWOLD CHRISTOPHER NOEL | DIRECTOR; ELECTED MANAGER/DIRECTOR | — |
| ZARGAJ MICHAEL NMN | VICE PRESIDENT AND DIRECTOR; VICE PRESIDENT AND ELECTED MANAGER/DIRECTOR | — |
| BARRY KEVIN | ELECTED MANAGER / DIRECTOR | — |
| NATAUPSKY JEFFREY HOWARD | CHIEF FINANCIAL OFFICER | — |
| DORVAL STEVEN FRANCIS | PRESIDENT; PRESIDENT; ELECTED MANAGER / DIRECTOR | — |
| HARTIGAN ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| BEAN JESSE R | ELECTED MANAGER / DIRECTOR | — |
| DeFrancesco Peter | PRESIDENT; ELECTED MANAGER / DIRECTOR | — |
| DEFRANCESCO PETER GREGORY | PRESIDENT; ELECTED MANAGER / DIRECTOR | — |
| BROGAN GREGORY DANIEL | CHIEF OPERATIONS OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-02-23 | regulatory | BC FINANCIAL SERVICES AUTHORITY FOUND THE CONTRACT AND RELATED ADVERTISING UNFAIR AND POTENTIALLY MISLEADING; FAILURES IN PRIVACY / OUTSOURCING COMPLIANCE; FAILURES IN COMMUNICATION WITH INSURED CAUSING HARM. | Final | — |
| 2017-11-23 | regulatory | THE MANUFACTURERS LIFE INSURANCE COMPANY ALLOWED RESTRICTED AGENTS TO ACT WHILE NOT HOLDING A VALID CERTIFICATE OF AUTHORITY CONTRARY TO SECTION 452(5) OF THE INSURANCE ACT (ALBERTA) AND COMPENSATING AN UNLICENSED RESTRICTED INSURANCE AGENT CONTRARY TO THE PROVISIONS OF SECTION 499(1) OF THE INSURAN… | Final | $5K |
| 2017-09-28 | regulatory | THE MANUFACTURERS LIFE INSURANCE COMPANY DISTRIBUTED HOSPITAL INSURANCE POLICIES TO SEARS CUSTOMERS THROUGH PERSONS WHO WERE NOT LICENSED WITH THE AUTORITE DES MARCHES FINANCIERS FOR THIS PURPOSE, THUS CONTRAVENING SECTIONS 461,462,470 AND 491 OF THE ACT RESPECTING THE DISTRIBUTION OF FINANCIAL PROD… | Final | $350K |
| 2014-04-22 | regulatory | ON APRIL 22, 2014 THE ALBERTA SUPERINTENDENT OF INSURANCE ISSUES A FINE OF $5000.00 AFTER REACHING A DETERMINATION THAT MANULIFE CONTRAVENED SECTIONS 452(5) (INSURANCE AGENT'S CERTIFICATE) AND 499(1) (DEALING WITH UNAUTHORIZED INSURANCE AGENTS) OF THE ALBERTA INSURANCE ACT BY ALLOWING AN ADVISOR, CO… | Final | $5K |
| 2014-02-28 | regulatory | ON FEBRUARY 28, 2014, MANULIFE FINANCIAL CORPORATION ("MFC"), THE MANUFACTURERS LIFE INSURANCE COMPANY ("MLI") AND BENESURE CANADA INC. CONSENTED TO THE TERMS OF AN ORDER ISSUED BY THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS COMMISSION OF BRITISH COLUMBIA RELATING TO AN INVESTIGATION OF PRACTICES A… | Final | $150K |
| 2012-07-05 | regulatory | FAILURE TO ADVISE THE SUPERINTENDENT THAT THE PLAN ADMINISTER DID NOT PROVIDE THE MANUFACTURER'S LIFE INSURANCE COMPANY WITH A SUMMARY OF CONTRIBUTIONS (FORM 7) AS REQUIRED BY THE PENSION BENEFITS ACT FOR THE 2010 YEAR WITHIN THE TIME PRESCRIBED. | Final | $50K |