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Investment Adviser Firm Summary

MANULIFE ASSET MANAGEMENT (US) LLC (CRD# 106435 / SEC# 801-42023)
Alternate Names: JOHN HANCOCK ASSET MANAGEMENT , JOHN HANCOCK ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC , MANULIFE ASSET MANAGEMENT , MANULIFE ASSET MANAGEMENT (US) LLC , MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC , SOVEREIGN ASSET MANAGEMENT , SOVEREIGN ASSET MANAGEMENT A DIVISION OF JOHN HANCOCK ASSET MANAGEMENT , SOVEREIGN ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC , SOVEREIGN ASSET MANAGEMENT CORPORATION , SOVEREIGN ASSET MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/04/1992

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/30/2017
Alaska 03/30/2017
Arizona 03/30/2017
Arkansas 01/31/1994
California 03/30/2017
Colorado 07/26/2001
Connecticut 03/30/2017
Delaware 03/30/2017
District of Columbia 03/08/1994
Florida 03/30/2017
Georgia 03/30/2017
Hawaii 03/30/2017
Idaho 03/30/2017
Illinois 07/16/1993
Indiana 03/30/2017
Iowa 03/30/2017
Kansas 03/30/2017
Kentucky 05/28/1993
Louisiana 03/30/2017
Maine 03/30/2017
Maryland 06/10/1993
Massachusetts 11/29/2002
Michigan 03/30/2017
Minnesota 03/30/2017
Mississippi 03/30/2017
Missouri 04/23/1993
Montana 03/30/2017
Nebraska 03/30/2017
Nevada 03/30/2017
New Hampshire 03/29/2016
New Jersey 04/19/2016
New Mexico 05/22/1998
New York 06/01/1993
North Carolina 02/28/2001
North Dakota 03/30/2017
Ohio 04/14/1999
Oklahoma 03/29/2016
Oregon 03/30/2017
Pennsylvania 04/19/1993
Rhode Island 03/30/2017
South Carolina 03/30/2017
South Dakota 03/30/2017
Tennessee 03/30/2017
Texas 06/08/1993
Utah 03/30/2017
Vermont 03/30/2017
Virginia 03/29/2016
Washington 03/30/2017
West Virginia 03/30/2017
Wisconsin 03/30/2017
Wyoming 03/30/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser