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Reset former BROKERDEALER USE ONLYChange of broker dealer of record Important information this form if you are a financial professional and wish to change your broker dealer of record with John Hancock
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How to fill out broker-dealers state investment advisers

01
Determine if you meet the qualifications set by the state securities division to act as a broker-dealer or investment adviser.
02
Obtain the necessary licenses and registrations from the state securities division.
03
Fill out the required forms and submit them along with any applicable fees to the state securities division.
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Provide any additional documentation requested by the state securities division to complete the registration process.
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Comply with any ongoing reporting and compliance requirements set by the state securities division.

Who needs broker-dealers state investment advisers?

01
Individuals or firms who are involved in buying and selling securities on behalf of clients and providing investment advice.
02
Those who are required to be registered as broker-dealers or investment advisers by state regulations.
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Broker-dealers are individuals or firms engaged in buying and selling securities on behalf of clients. State investment advisers are individuals or firms that provide advice about securities to clients.
Broker-dealers and state investment advisers are required to file with the appropriate regulatory authorities, such as the Securities and Exchange Commission or state securities regulators.
To fill out broker-dealers state investment advisers, individuals and firms must provide information about their business activities, clients, investment strategies, and any conflicts of interest.
The purpose of broker-dealers state investment advisers is to ensure that individuals and firms engaged in the securities industry operate in a transparent and ethical manner.
Information that must be reported on broker-dealers state investment advisers includes financial information, regulatory disclosures, client complaints, and information about the firm's business operations.
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