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An official website of the United States Government
hidden text Investment Adviser Public Disclosure
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Investment Adviser Firm Summary

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MANULIFE INVESTMENT MANAGEMENT (US) LLC ( CRD # 106435/SEC#:801-42023 ) Show All
13
JOHN HANCOCK ASSET MANAGEMENT, SOVEREIGN ASSET MANAGEMENT LLC, SOVEREIGN ASSET
MANAGEMENT CORPORATION, SOVEREIGN ASSET MANAGEMENT A DIVISION OF MANULIFE ASSET
MANAGEMENT (US) LLC, SOVEREIGN ASSET MANAGEMENT A DIVISION OF JOHN HANCOCK ASSET
MANAGEMENT…
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS

SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATESECApproved8/4/1992

NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to
state securities authorities a copy of their Form ADV and any accompanying
amendments filed with the SEC. These filings are called "notice filings". Below
are the states with which the firm you selected makes its notice filings. Also
listed is the date the firm first became notice filed or registered in each
state.

JURISDICTIONEFFECTIVE
DATEAlabama3/30/2017Alaska3/30/2017Arizona3/30/2017Arkansas1/31/1994California3/30/2017Colorado7/26/2001Connecticut3/30/2017Delaware3/30/2017District
of
Columbia3/8/1994Florida3/30/2017Georgia3/30/2017Hawaii3/30/2017Idaho3/30/2017Illinois7/16/1993Indiana3/30/2017Iowa3/30/2017Kansas3/30/2017Kentucky5/28/1993Louisiana3/30/2017Maine3/30/2017Maryland6/10/1993Massachusetts11/29/2002Michigan3/30/2017Minnesota3/30/2017Mississippi3/30/2017Missouri4/23/1993Montana3/30/2017Nebraska3/30/2017Nevada3/30/2017New
Hampshire3/29/2016New Jersey4/19/2016New Mexico5/22/1998New York6/1/1993North
Carolina2/28/2001North
Dakota3/30/2017Ohio4/14/1999Oklahoma3/29/2016Oregon3/30/2017Pennsylvania4/19/1993Rhode
Island3/30/2017South Carolina3/30/2017South
Dakota3/30/2017Tennessee3/30/2017Texas6/8/1993Utah3/30/2017Vermont3/30/2017Virginia3/29/2016Washington3/30/2017West
Virginia3/30/2017Wisconsin3/30/2017Wyoming3/30/2018

EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required
to register as investment advisers because they rely on certain exemptions from
registration under sections 203(l) and 203(m) of the Investment Advisers Act of
1940 and related rules. Certain state securities regulatory authorities have
similar exemptions based on state statutes or regulations. An ERA is required to
file a report using Form ADV, but does not complete all items contained in Form
ADV that a registered adviser must complete. Other state securities regulatory
authorities require an ERA to register as an investment adviser and file a
complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
IA
Investment Adviser

Disclosures
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.