Individual Firm
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Nicholas Glueckler
NICHOLAS J GLUECKLER, NICHOLAS JOSEPH GLUECKLER
CRD#: 6361810
IA
B
JOHN HANCOCK INVESTMENT MANAGEMENT LLCCRD#: 105790 1230 West Washington Street
Tempe, AZ 85281
Tempe, AZ 85281
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLCCRD#: 28262 1230 West Washington Street
Suite 508
Tempe, AZ 85288
Suite 508
Tempe, AZ 85288
0
Disclosures
9
Years of Experience
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State Registrations
B
Arizona 10/8/2021
B
Massachusetts 10/7/2021
IA
Arizona 10/8/2021
IA
Massachusetts 10/25/2021
B
California 10/7/2021
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/8/2021
B
Registered with this firm since 10/7/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/27/2020 - 10/06/2021 | Scottsdale, AZ | |
IA | 09/19/2018 - 01/27/2020 | GILBERT, AZ | |
B | 10/09/2018 - 01/27/2020 | GILBERT, AZ | |
IA | 06/23/2017 - 08/17/2018 | PHOENIX, AZ | |
IA | 11/12/2014 - 05/27/2016 | WASHINGTON, DC | |
B | 08/22/2014 - 05/27/2016 | WASHINGTON, DC |
Scottsdale, AZ
01/27/2020 - 10/06/2021
WASHINGTON, DC
11/12/2014 - 05/27/2016
WASHINGTON, DC
08/22/2014 - 05/27/2016
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.