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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

DAVID DUANE SMITH

Advisor at JOHN HANCOCK INVESTMENT MANAGEMENT LLC

BOSTON, MA | Naperville, IL

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Search this name across graphsid dfx:ria:e3903cd0-ebca-8d32-8098-3cdfa7479216

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 21, 2010 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: 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: Dec 20, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Dec 20, 2010
First registration: Dec 21, 2010
Dual registered: yes, broker-dealer
Other names: DAVID SMITH
IAPD individual key: 5852786

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	Aug 4, 2021	n/a	yes	BOSTON, MA\|Naperville, IL	Current employment
RBC CAPITAL MARKETS, LLC	National bd RIA	Jul 12, 2016	Aug 10, 2021	no	BOSTON, MA\|CHICAGO, IL	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Nov 12, 2014	Jun 27, 2016	no	CHICAGO, IL	Previous registration
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Jun 24, 2013	Oct 29, 2014	no	LOS ANGELES, CA	Previous registration
WILLIAM BLAIR & COMPANY L.L.C.	Bd affiliated wealth	Dec 21, 2010	Aug 13, 2012	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL	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
RBC CAPITAL MARKETS, LLC	JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Aug 10, 2021	Aug 4, 2021	-6	Firm change	Other
CREDIT SUISSE SECURITIES (USA) LLC	RBC CAPITAL MARKETS, LLC	Jun 27, 2016	Jul 12, 2016	15	Firm change	Other
CAPITAL CLIENT GROUP, INC.	CREDIT SUISSE SECURITIES (USA) LLC	Oct 29, 2014	Nov 12, 2014	14	Firm change	Other
WILLIAM BLAIR & COMPANY L.L.C.	CAPITAL CLIENT GROUP, INC.	Aug 13, 2012	Jun 24, 2013	315	Firm change	Other

Relationships

Registered with (5)

→ JOHN HANCOCK INVESTMENT MANAGEMENT LLCRegistered adviserregistration: current employment
Aug 4, 2021 to presentfactForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Jul 12, 2016 to Aug 10, 2021factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Nov 12, 2014 to Jun 27, 2016factForm ADV
→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: previous registration
Jun 24, 2013 to Oct 29, 2014factForm ADV
→ WILLIAM BLAIR & COMPANY L.L.C.Registered adviserregistration: previous registration
Dec 21, 2010 to Aug 13, 2012factForm ADV

Dated events

No dated event names this entity yet.