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Investment Adviser Firm Summary
MANULIFE INVESTMENT MANAGEMENT (US) LLC ( CRD # 106435/SEC#:801-42023 )
JOHN HANCOCK ASSET MANAGEMENT, SOVEREIGN ASSET MANAGEMENT LLC, SOVEREIGN ASSET MANAGEMENT CORPORATION, SOVEREIGN ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET MANAGEMENT (US) LLC, SOVEREIGN ASSET MANAGEMENT A DIVISION OF JOHN HANCOCK ASSET MANAGEMENT…
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved8/4/1992
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.

JURISDICTIONEFFECTIVE DATE
Alabama3/30/2017
Alaska3/30/2017
Arizona3/30/2017
Arkansas1/31/1994
California3/30/2017
Colorado7/26/2001
Connecticut3/30/2017
Delaware3/30/2017
District of Columbia3/8/1994
Florida3/30/2017
Georgia3/30/2017
Hawaii3/30/2017
Idaho3/30/2017
Illinois7/16/1993
Indiana3/30/2017
Iowa3/30/2017
Kansas3/30/2017
Kentucky5/28/1993
Louisiana3/30/2017
Maine3/30/2017
Maryland6/10/1993
Massachusetts11/29/2002
Michigan3/30/2017
Minnesota3/30/2017
Mississippi3/30/2017
Missouri4/23/1993
Montana3/30/2017
Nebraska3/30/2017
Nevada3/30/2017
New Hampshire3/29/2016
New Jersey4/19/2016
New Mexico5/22/1998
New York6/1/1993
North Carolina2/28/2001
North Dakota3/30/2017
Ohio4/14/1999
Oklahoma3/29/2016
Oregon3/30/2017
Pennsylvania4/19/1993
Rhode Island3/30/2017
South Carolina3/30/2017
South Dakota3/30/2017
Tennessee3/30/2017
Texas6/8/1993
Utah3/30/2017
Vermont3/30/2017
Virginia3/29/2016
Washington3/30/2017
West Virginia3/30/2017
Wisconsin3/30/2017
Wyoming3/30/2018
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.