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Detailed Report
JOHN JOSEPH HANLEY
JOHN J HANLEY
CRD#: 2831983
IA
Investment Adviser
B
Broker
PGIM INVESTMENTS LLCCRD#: 105670 Sarasota, FL
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLCCRD#: 18353 Sarasota, FL
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2010 - Present (14 years)BRIVERSOURCE FUND DISTRIBUTORS,... (CRD# 840)2009 - 2009 (<1 year)BRIVERSOURCE DISTRIBUTORS, INC. (CRD# 139135)2007 - 2009 (1 year)BPIONEER FUNDS DISTRIBUTOR, INC. (CRD# 24497)2002 - 2007 (4 years)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)1997 - 2002 (5 years)IARIVERSOURCE INVESTMENTS (CRD# 108257)2008 - 2009 (<1 year)IAPIONEER INSTITUTIONAL ASSET MA... (CRD# 138756)2006 - 2007 (<1 year)IAPIONEER INVESTMENT MANAGEMENT,... (CRD# 107719)2004 - 2006 (1 year)
License(s)

State Registrations

B
Alabama 2/7/2020
B
Minnesota 12/15/2010
B
Alaska 12/15/2010
B
Mississippi 12/11/2024
B
Arizona 12/15/2010
B
Missouri 12/15/2010
B
Arkansas 12/15/2010
B
Nebraska 12/15/2010
B
California 12/15/2010
B
Nevada 12/15/2010
B
Colorado 12/15/2010
B
New Mexico 12/15/2010
B
Florida 11/21/2019
B
North Carolina 1/12/2021
IA
Florida 2/7/2020
B
Ohio 3/9/2020
B
Georgia 2/7/2020
B
Oklahoma 12/15/2010
B
Idaho 1/30/2018
B
Oregon 12/15/2010
B
Illinois 12/15/2010
B
Puerto Rico 3/12/2020
IA
Illinois 3/8/2016
B
South Carolina 1/12/2021
B
Indiana 3/9/2020
B
South Dakota 8/14/2020
B
Iowa 12/15/2010
B
Tennessee 3/23/2021
B
Kansas 12/15/2010
B
Texas 12/15/2010
B
Kentucky 3/9/2020
B
Utah 12/15/2010
B
Louisiana 12/11/2024
B
Virginia 1/12/2021
B
Massachusetts 2/14/2011
B
Washington 12/15/2010
B
Michigan 2/14/2011
B
Wisconsin 12/15/2010

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PGIM INVESTMENTS LLC (CRD#:105670)
Sarasota, FL
Registered with this firm since 12/23/2010
B
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (CRD#:18353)
Sarasota, FL
Registered with this firm since 12/15/2010
Previous Registration(s)
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IA
 11/12/2008 - 05/12/2009 RIVERSOURCE INVESTMENTS (CRD#:108257) BOSTON, MA
B
 01/02/2009 - 05/12/2009 RIVERSOURCE FUND DISTRIBUTORS, INC. (CRD#:840) MINNEAPOLIS, MN
B
 05/01/2007 - 01/02/2009 RIVERSOURCE DISTRIBUTORS, INC. (CRD#:139135) HINGHAM, MA
IA
 04/20/2006 - 02/06/2007 PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC. (CRD#:138756) BOSTON, MA
B
 10/08/2002 - 02/06/2007 PIONEER FUNDS DISTRIBUTOR, INC. (CRD#:24497) HINGHAM, MA
IA
 10/04/2004 - 04/20/2006 PIONEER INVESTMENT MANAGEMENT, INC. (CRD#:107719) BOSTON, MA
B
 01/03/1997 - 10/31/2002 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.