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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Ian Stephens

Advisor at COMMONWEALTH FINANCIAL NETWORK

WALTHAM, MA

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Search this name across graphsid dfx:ria:d67cf851-8089-40ec-73b4-333397779b84

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 28, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: COMMONWEALTH FINANCIAL NETWORK
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 6, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Nov 6, 1996
First registration: Nov 28, 2008
Dual registered: yes, broker-dealer
Other names: IAN STEPHENS|Ian B Stephens
IAPD individual key: 2790543

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Jul 30, 2026	n/a	yes	WALTHAM, MA	Current employment
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Asset manager	Aug 23, 2022	May 25, 2026	no	BOSTON, MA\|Boston, MA	Previous registration
EDWARD JONES	National bd RIA	Dec 11, 2019	Oct 4, 2021	no	Peabody, MA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Feb 22, 2019	Dec 6, 2019	no	Boston, MA\|ARLINGTON, VA	Previous registration
EDWARD JONES	National bd RIA	Aug 22, 2017	Jan 31, 2019	no	MARBLEHEAD, MA	Previous registration
NATIXIS ADVISORS, LLC	Bd affiliated wealth	Feb 14, 2011	Jul 17, 2017	no	BOSTON, MA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 28, 2008	Mar 19, 2010	no	BOSTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	COMMONWEALTH FINANCIAL NETWORK	May 25, 2026	Jul 30, 2026	66	Firm change	Other
EDWARD JONES	JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Oct 4, 2021	Aug 23, 2022	323	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	EDWARD JONES	Dec 6, 2019	Dec 11, 2019	5	Firm change	RIA to ibd
EDWARD JONES	E*TRADE CAPITAL MANAGEMENT, LLC	Jan 31, 2019	Feb 22, 2019	22	Firm change	Ibd to RIA
NATIXIS ADVISORS, LLC	EDWARD JONES	Jul 17, 2017	Aug 22, 2017	36	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NATIXIS ADVISORS, LLC	Mar 19, 2010	Feb 14, 2011	332	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
106800:250:MA:2017-07-17	Jul 17, 2017	Aug 22, 2017	BOSTON, MA	Firm change

Relationships

Registered with (6)

→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: current employment
Jul 30, 2026 to presentfactForm ADV
→ JOHN HANCOCK INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Aug 23, 2022 to May 25, 2026factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Dec 11, 2019 to Oct 4, 2021factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 22, 2019 to Dec 6, 2019factForm ADV
→ NATIXIS ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 14, 2011 to Jul 17, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 28, 2008 to Mar 19, 2010factForm ADV

Dated events

Occurred
May 25, 2026
Advisor changed firm
Ian Stephens left John Hancock Investment Management Llc for Commonwealth Financial Network (registered 2026-07-30)
Form ADVobserved 5 days ago