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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

JAMES BRADLEY BAKER

Advisor at JOHN HANCOCK INVESTMENT MANAGEMENT LLC

WYOMISSING, PA | BOSTON, MA

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Search this name across graphsid dfx:ria:e155f216-fd22-fe30-ee93-5e5e810c588d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 30, 2001 to Sep 15, 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: JOHN HANCOCK INVESTMENT MANAGEMENT LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 9, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S65|S63
First exam: May 9, 2001
First registration: May 30, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 3256288

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
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Asset manager	Nov 8, 2018	n/a	yes	WYOMISSING, PA\|BOSTON, MA	Current employment
MANULIFE INVESTMENT MANAGEMENT (US) LLC	Asset manager	Oct 31, 2018	Nov 8, 2018	no	Wyomissing, PA\|BOSTON, MA	Previous registration
KNOTT CAPITAL MANAGEMENT	n/a	Oct 17, 2007	Jun 20, 2011	no	EXTON, PA	Previous registration
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Asset manager	Aug 12, 2002	Apr 27, 2007	no	BOSTON, MA	Previous registration
MANULIFE INVESTMENT MANAGEMENT (US) LLC	Asset manager	Aug 9, 2002	Apr 27, 2007	no	BOSTON, MA	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	May 30, 2001	Jul 9, 2002	no	BALTIMORE, MD	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
MANULIFE INVESTMENT MANAGEMENT (US) LLC	JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Nov 8, 2018	Nov 8, 2018	0	Bulk transfer	Other
KNOTT CAPITAL MANAGEMENT	MANULIFE INVESTMENT MANAGEMENT (US) LLC	Jun 20, 2011	Oct 31, 2018	2,690	Firm change after gap	Other
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	KNOTT CAPITAL MANAGEMENT	Apr 27, 2007	Oct 17, 2007	173	Firm change	Other
MANULIFE INVESTMENT MANAGEMENT (US) LLC	JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Apr 27, 2007	Aug 12, 2002	-1,719	Firm change after gap	Other
LEGG MASON WOOD WALKER, INCORPORATED	MANULIFE INVESTMENT MANAGEMENT (US) LLC	Jul 9, 2002	Aug 9, 2002	31	Firm change	Other

Relationships

Registered with (4)

→ JOHN HANCOCK INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Aug 12, 2002 to Apr 27, 2007factForm ADV
→ MANULIFE INVESTMENT MANAGEMENT (US) LLCRegistered adviserregistration: previous registration
Oct 31, 2018 to Nov 8, 2018factForm ADV
→ KNOTT CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Oct 17, 2007 to Jun 20, 2011factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
May 30, 2001 to Jul 9, 2002factForm ADV

Dated events

No dated event names this entity yet.