EX-99.30(2)(B) 2 d23800dex99302b.htm JHNY- LIST OF THIRD-PARTY BROKER-DEALER FIRMS JHNY- List of third-party broker-dealer firms
  

JOHN HANCOCK NEW YORK

SELLING AGREEMENT

APPROVALS/APPOINTMENTS

  

Life Agent (LA) License Key Line Requirements:

For Annuities: Variable

For RPS: Life

For Insurance-Life and/or Variable

 

BROKER DEALER

  

TAX ID /

BROKER DEALER

  

APPROVAL DATE

A.P. Securities, Inc.    11-3031179    7/27/2001
Advest, Inc.    06-0950348    7/6/2005
Advisory Group Equity Services, Ltd.    04-2830039   

5/3/2002

Reinstated 2/19/2021

Aegis Capital Corp.    11-2671906    8/8/2005
Alexander Capital LP    13-3866977    1/26/2016
Allstate Financial Services, LLC    47-0826838    10/19/2001
All-Vest Securities, Inc.    11-2591111    8/14/2001
American Capital Partners, LLC    01-0564579    11/17/2011
American Global Wealth, Inc.    39-1259164    10/9/2020
American Portfolios Financial Services, Inc.    11-3018002    5/5/2002
Ameriprise Financial Services, Inc    41-0973005    7/15/2003
Ameritas Investment Corp.    47-0663374    11/13/2003
APW Capital, Inc.    22-3580765    1/27/2009
Arete Wealth Management, LLC    39-1918659    11/1/2022
Arkadios Capital, LLC    81-1052458    6/5/2020
Art Hauser Insurance Inc.    31-0800707    10/22/2015
Atlantic Financial, LLC    26-1738719    2/23/2011
Ausdal Financial Partners, Inc.    42-1129623    3/12/2021
Avantax Investment Services, Inc.    75-1869963    7/18/2003
Avantax Investment Services, Inc.    75-1869963    3/28/2005
AW Securities, LLC    68-0415440    1/5/2023
B. Riley Wealth Management, Inc.    62-1518255    12/18/2023
Bay Colony Securities Co. , Inc.    04-3333156    11/20/2009
BB & T Investment Services, Inc.    56-1815852    11/1/2005
BCG Securities, Inc.    23-1664237    10/12/2006
Benchmark Investments, Inc.    71-0825385    8/26/2020
Benjamin F. Edwards & Company, Inc.    26-3199152    10/14/2009
Berthel, Fisher & Company Financial Services, Inc.    42-1029773    4/14/2004
BG Worldwide Securities, Inc.    30-0039439    3/15/2007

 

FOR INTERNAL USE ONLY    March 2024
Important Note: JHNY no longer offers Variable and Fixed annuity products effective December 31, 2012.   


  

JOHN HANCOCK NEW YORK

SELLING AGREEMENT

APPROVALS/APPOINTMENTS

  

Life Agent (LA) License Key Line Requirements:

For Annuities: Variable

For RPS: Life

For Insurance-Life and/or Variable

 

BROKER DEALER

  

TAX ID /

BROKER DEALER

  

APPROVAL DATE

Bolton Global Capital    04-3077774    5/4/2001
Brighton Securities Corp.    16-0961085    8/11/1998
Brokerageselect    06-1549225    2/7/2007
Brokers International Financial Services, LLC    42-1427068    6/23/2020
Buckman, Buckman & Reid, Inc.    22-2926943    5/20/2008
Cabot Lodge Securities, LLC    45-3717999    4/11/2013
Cadaret, Grant & Co., Inc.    22-2361254    6/12/1995
Calton & Associates, Inc.    59-2845944    7/30/2005
Cambridge Investment Research, Inc.    42-1445429    8/21/1998
CapFinancial Securities LLC    46-4350797    6/6/2014
Capital Brokerage    91-1143830    10/23/2003
Capital Investment Group, Inc.    56-1394939    1/21/2011
Capitol Securities Management, Inc.    54-1570635    3/26/2013
CBIZ Financial Solutions, Inc.    52-1396995    4/13/2005
Centauraus Financial, Inc.    33-0530236    5/4/2001
CES Insurance Agency, Inc./ Commonwealth Financial Network    04-2865307    11/2/1992
Cetera Advisor Networks, LLC    95-3845382    11/24/1994
Cetera Advisors LLC    84-0858799    10/26/1992
CFD Investments, Inc.    35-1692812    1/24/2007
Chapin Davis Insurance Inc.    52-1719456    11/4/2014
Chelsea Financial Services    11-3489062    6/16/2009
Citigroup Global Markets, Inc.    11-2418191    11/9/1992
Citizens Securities, Inc. (formerly CCO Investment Services Corp.)    05-0487400    11/28/2005
Coastal Equities, Inc.    56-2456935    8/9/2016
Colliers Securities, LLC    41-1883794    9/5/2014
Compass Securities Ins.    04-2844064    6/6/2001
Concorde Investment Services, LLC    27-0498480    8/29/2011
Concourse Financial Group Securities, Inc.    63-0879387    2/11/1999
Coombe Financial Services, Inc    14-6025667    5/30/2006
Coordinated Capital Securities, Inc    39-1468428    9/23/2011

 

FOR INTERNAL USE ONLY    March 2024
Important Note: JHNY no longer offers Variable and Fixed annuity products effective December 31, 2012.   


  

JOHN HANCOCK NEW YORK

SELLING AGREEMENT

APPROVALS/APPOINTMENTS

  

Life Agent (LA) License Key Line Requirements:

For Annuities: Variable

For RPS: Life

For Insurance-Life and/or Variable

 

BROKER DEALER

  

TAX ID /

BROKER DEALER

  

APPROVAL DATE

CoreCap Investments, Inc.    23-2809463    2/24/2017
CreativeOne Securities, LLC    27-1408998    7/1/2020
Crown Capital Securities, L.P.    33-0837984    6/11/2001
Deutsche Bank Securities, Inc.    13-2730828    12/7/1992
Di Giulio Financial Services, Inc.    16-1573323    10/17/2001
Dinosaur Securities, LLC    13-4123021    6/29/2010
DMK Advisor Group, Inc.    84-1345780    8/10/2020
Edward D. Jones, & Co., L.P.    43-0345811    8/17/2000
EF Legacy Securities, LLC    47-3919321    2/18/2022
Equitable Advisors, LLC    06-1555494    11/1/1999
Equity Services Inc.    03-0221141    4/22/1998
Excel Securities & Associates, Inc.    16-1540153    8/18/2004
Fairport Capital, Inc.    06-1103413    7/21/2010
Falcone & Marshall Financial Services, Inc.    16-1594634    3/26/2015
Financial Telesis, Inc.    68-0279977    5/5/2005
First Heartland Capital, Inc.    43-1635588    6/11/2002
First Palladium, LLC    82-2239026    8/22/2018
First Williston Corporation    11-2042681    5/28/1997

Flagstar Advisors

(formerly Signature Securities Group Corporation)

   13-4120476    9/22/2004
Fortune Financial Services, Inc.    25-1799740    10/2/2007
Founders Financial Securities, LLC    20-2052994    12/15/2008
Fulcrum Securities, Inc    20-1098652    8/4/2010
G.A. Repple & Company    59-2599605    6/30/2003
Garden State Securities, Inc.    22-2319866    12/19/2001
GDC Securities, LLC    06-1415515    1/29/1996
Geneos Wealth Management, Inc.    02-0580939    6/11/2002
Genworth Financial Securities Corp    36-3120284    3/20/2002
GFA Securities, LLC    57-1169794    5/5/2004
Gradient Securities, LLC    26-4463739    4/25/2013
Great American Investors, Inc.    48-1099886    12/17/2010

 

FOR INTERNAL USE ONLY    March 2024
Important Note: JHNY no longer offers Variable and Fixed annuity products effective December 31, 2012.   


  

JOHN HANCOCK NEW YORK

SELLING AGREEMENT

APPROVALS/APPOINTMENTS

  

Life Agent (LA) License Key Line Requirements:

For Annuities: Variable

For RPS: Life

For Insurance-Life and/or Variable

 

BROKER DEALER

  

TAX ID /

BROKER DEALER

  

APPROVAL DATE

Grove Point Financial, LLC (formerly H. Beck, Inc.)    52-1321340    11/2/1992
GWN Securities, Inc.    65-0939556    7/1/2004
Hamilton Cavanaugh Investment Brokers, Inc.    13-3750891    3/2/2009
Hazard & Siegel, Inc.    16-0954584    12/26/2003
Henley & Company, LLC.    02-0723575    3/28/2005
HighTower Securities, LLC    36-4454225    3/18/2009
Hornor, Townsend & Kent    23-1706189    10/21/1995
HRC Investment Services, Inc.    11-3140280    10/27/1999
Hudson Heritage Capital Management, Inc.    13-3970289    1/24/2000
IBN Financial Services, Inc.    16-1493299    6/11/2002
IDB Capital Corp.    13-4134872    1/1/2008
Independent Financial Group, LLC    71-0927304   

8/4/2010 (Annuity)

6/4/2021 (USI)

Infinex Investments, Inc.    06-1367288    11/27/2012
Innovation Partners, LLC    30-0451254    11/19/2013
International Assets Advisory LLC    59-3734291    12/19/2012
Intervest International Equities Corp.    98-0096287   

12/5/2002 (Annuity)

5/12/2021 (Group)

J.P. Morgan Securities LLC    13-4110995    7/6/2005 (Reinstated 10/30/13)
J.W. Cole Financial, Inc.    16-1632597    6/16/2005
Jacques Financial LLC    52-2217889    12/21/2012
Janney Montgomery Scott, Inc.    23-0731260    10/1/1997
Kern, Suslow Securities, Inc.    13-3516214    3/1/1999
Kestra Investment Services, LLC    74-2794194    6/11/2002
Key Investment Services, LLC    13-4300906    2/2/2006
Key2Life Brokerage Inc.    26-3013748    11/19/2008
Kingswood Capital Partners LLC    81-4245023    11/21/2023
Kovack Securities, Inc.    65-0747270    11/24/2003
L. M. Kohn and Company    31-1311805    11/9/2000

 

FOR INTERNAL USE ONLY    March 2024
Important Note: JHNY no longer offers Variable and Fixed annuity products effective December 31, 2012.   


  

JOHN HANCOCK NEW YORK

SELLING AGREEMENT

APPROVALS/APPOINTMENTS

  

Life Agent (LA) License Key Line Requirements:

For Annuities: Variable

For RPS: Life

For Insurance-Life and/or Variable

 

BROKER DEALER

  

TAX ID /

BROKER DEALER

  

APPROVAL DATE

Laidlaw & Company (UK) Ltd    98-0380030    11/28/2022
Larimer Capital Corporations    84-1028373    5/7/2007
Larson Financial Securities, LLC    27-1372444    9/1/2010
LaSalle St. Securities, LLC    36-2797246    5/14/2001
Lebenthal Financial Services, Inc.    20-3156765    5/19/2008
Leigh D. Baldwin & Co., Inc.    22-3348632    4/21/1995
Lesko Securities Inc.    16-1152736    6/30/2004
Leumi Investment Services, Inc.    13-4132289    3/26/2004
Level Four Financial, LLC    20-0629176    2/1/2007
Liberty Partners Financial Services, LLC    90-0139675    11/26/2012
Lifemark Securities Corp.    16-1238365    3/6/1995
Lincoln Financial Advisors Corporation    35-1151034    7/12/2001
Lincoln Financial Securities Corp.    02-0275490    12/11/1993
Lincoln Investment Planning, Inc.    23-1702591    4/1/2002
Lion Street Financial    80-0842559    4/22/2015
Lockton Investment Securities, LLC    20-3247391    12/19/2012
Lombard Securities, Inc.    52-1695548    2/17/2009
LPL Financial Corporation    95-2834236    6/4/1998
M & T Securities, Inc.    16-1263079    5/17/1999
M Holdings Securities, Inc.    91-1802259    5/23/2000
M.S. Howells & Co.    86-0988422    12/19/2018
Madison Avenue Securities, Inc.    71-0987804    4/19/2007
Marlin Trading, Inc.    13-3990383    3/14/2001
May Capital Group, LLC    22-3324819    7/6/2006
McDonald Investments Inc.    34-1391952    2/2/2006
Mercer Allied Company, LP    14-1775694    11/30/2007
Merrill Lynch, Pierce, Fenner & Smith (MLPF&S)    13-2808480    10/25/1992
Mesirow Financial, Inc.    36-3429604    3/14/2007
Mid Atlantic Capital Corporation    25-1409618    6/25/2004
Mid-Atlantic Securities, Inc.    62-1726305    10/17/2001
MMA Securities LLC (formerly NIA Securities, LLC)    22-3570392    8/4/2003

 

FOR INTERNAL USE ONLY    March 2024
Important Note: JHNY no longer offers Variable and Fixed annuity products effective December 31, 2012.   


  

JOHN HANCOCK NEW YORK

SELLING AGREEMENT

APPROVALS/APPOINTMENTS

  

Life Agent (LA) License Key Line Requirements:

For Annuities: Variable

For RPS: Life

For Insurance-Life and/or Variable

 

BROKER DEALER

  

TAX ID /

BROKER DEALER

  

APPROVAL DATE

MMC Securities, Inc.    06-1685865    6/12/2002
MML Investor Services, Inc.    04-2746212    3/30/1994
Moloney Securities Co., Inc.    43-1714327    11/10/2023
Money Concepts Capital Corp.    59-2268067    3/23/2003
Morgan Stanley Smith Barney LLC    26-4310844    7/7/1999
MSEC, LLC    27-2587292    1/3/2020
Mutual Funds Associates    16-0922871    9/1/1994
Mutual Securities Inc. of California    95-3703162    4/18/2012
MWA Financial Services, Inc.    36-4420471    7/29/2003
Nations Financial Group, Inc.    39-1909295    12/3/2004
Nationwide Planning Associates, Inc.    22-3196827    3/13/2003
Nationwide Securities LLC (aka NSLLC)    36-2434406    1/30/2009
NBC Securities, Inc.    63-0923499    10/5/2017
Nelson Securities, Inc.    91-1219910    6/28/1993
Newbridge Securities Corp    54-1879031    11/15/2006
Next Financial Group, Inc.    54-1900002    2/4/2000
Northern Lights Distributors, LLC    77-0625792    5/29/2007
Northwestern Mutual Investment Services, LLC.    52-2114207    12/11/2008
NYLife Securities Inc.    27-0145686    3/31/2007
Oberlin Financial International, LLC    82-3775196    3/27/2020
Oppenheimer & Co., Inc.    13-6567518    11/18/2003

OSAIC, INC.

(formerly Royal Alliance Associates, Inc.; formerly Investment Advisors & Consultants, Inc.)

   93-0987232    3/21/1995
P & A Financial Securities, Inc.    16-1533600    8/14/2000
Park Avenue Securities, LLC.    13-4023176    9/21/1993
Parkerland Brokerage Services, Inc.    39-1794957    2/23/2017
Parsonex Securities, Inc.    20-8580639    8/10/2009
Paulson Investment Company, Inc.    93-0789804    3/7/2003
Pensionmark Securities, LLC    81-2334025    4/1/2021

 

FOR INTERNAL USE ONLY    March 2024
Important Note: JHNY no longer offers Variable and Fixed annuity products effective December 31, 2012.   


  

JOHN HANCOCK NEW YORK

SELLING AGREEMENT

APPROVALS/APPOINTMENTS

  

Life Agent (LA) License Key Line Requirements:

For Annuities: Variable

For RPS: Life

For Insurance-Life and/or Variable

 

BROKER DEALER

  

TAX ID /

BROKER DEALER

  

APPROVAL DATE

Phoenix Equity Planning Corporation    23-2795977    6/4/2004
PHX Financial, Inc.    41-2225155    5/9/2019
Pinnacle Investments, LLC    20-5319494    7/7/2005
PlanMember Securities Corporation    95-3706234    5/30/2008
Principal Securities Inc. (formerly Princor Financial Securities Corp.)    42-0941553    3/22/1999
Private Client Services, LLC    61-1383537    1/25/2010
Pro Integrity Securities, Inc.    73-1552325    1/9/2002
Prospera Financial Services, Inc.    75-1832551    3/24/1998
Pruco Securities Corp    22-1211670    8/24/2000
Purshe Kaplan Sterling Investments    13-3749682    5/16/2001
Pyramid Funds Corporation    14-1498866    10/3/2012
Quint Capital Corporation    59-3007259    1/11/2021
R & W Brokerage, Inc.    11-2779581    2/22/2008
R. Seelaus & Co., Inc    22-2501042    2/2/2009
Raymond James Financial Services (fka I. M. & R, Inc.)    59-1237041    3/15/2004
RBC Capital Markets Corporation    41-1416330    1/1/2002
Regal Securities, Inc.    36-2916812    6/8/2008
Reid & Associates, LLC    14-1778902    9/25/2013
RNR Securities, LLC.    11-3374561    6/11/2002
Robb, P.J. Variable Corp.    62-1592808    10/8/1999
Robert W. Baird    39-6037917    Re-approved on 7/25/2017
Rockefeller Financial, LLC    83-2489877    2/9/2022
Ross Securities Corporation    13-4147466    2/25/2015
S.C. Parker & Co., Inc.    16-0876114    10/25/2005
Sage, Rutty & Co., Inc.    16-0620690    11/27/1992
San Blas Securities, LLC    82-2542915    5/13/2022
Sanctuary Securities, Inc.    36-2957364    7/15/2019
Saperston Asset Management Inc.    16-1539208    5/10/1998
Saxony Securities, Inc.    43-1932300    1/15/2004

 

FOR INTERNAL USE ONLY    March 2024
Important Note: JHNY no longer offers Variable and Fixed annuity products effective December 31, 2012.   


  

JOHN HANCOCK NEW YORK

SELLING AGREEMENT

APPROVALS/APPOINTMENTS

  

Life Agent (LA) License Key Line Requirements:

For Annuities: Variable

For RPS: Life

For Insurance-Life and/or Variable

 

BROKER DEALER

  

TAX ID /

BROKER DEALER

  

APPROVAL DATE

Saybrus Equity Services, LLC    27-1869321    9/23/2010
SCF Securities Inc.    86-0936511   

6/19/2014 (Servicing Only Annuity)

3/2/2017( Life)

Securities America, Inc.    11-2551174    4/28/1997
SEI Investments Distribution Co.    23-2177800    10/8/2004
Sentinel Securities, Inc.    04-3527574    9/11/2008
SIGMA Financial Corporation    38-2472555    2/29/2000
Signature Estate Securities, Inc.    59-2730348    6/8/2023
SMH Capital, Inc.    76-0224835    2/15/2007
Sorrento Pacific Financial, LLC    04-3746212    5/30/2001
Sovereign Legacy Securities, Inc.    11-1738990    7/19/2011
Spire Securities, LLC    20-8920866    8/17/2009
Stacey Braun Financial Services, Inc.    13-4193719    7/6/2007
Stanley Laman Group Securities LLC    33-1027312    7/31/2008
Sterling Monroe Securities, LLC    75-3049285    5/31/2007
Stifel, Nicolaus & Company, Inc.    43-0538770    4/27/2007

StoneX Securities Inc

(formerly SA Stone Wealth Management, Inc.)

   75-2975513    6/8/2018
Syndicated Capital, Inc.    95-4042447    9/25/2000
TD Waterhouse Investor Services, Inc.    06-0988655    10/10/2003
TFS Securities, Inc.    22-2825878    8/28/2007
The Enterprise Securities Company    38-2932225    2/29/2016
The F.I. Group, Inc.    16-1572019    6/17/2006
The Investment Center, Inc.    22-2699900    9/21/1995
The Leaders Group, Inc.    84-1275292    8/30/1999
The New Penfacs, Inc    41-2238941    2/20/2009
The Strategic Financial Alliance, Inc.    03-0510324    10/4/2007
Timecapital Securities Corp.    11-2339821    2/17/1994
Transamerica Financial Advisors, Inc.    59-2476008    11/18/2003
Trevor, Cole, Reid & Monroe, Inc.    13-3100833    3/15/2002

 

FOR INTERNAL USE ONLY    March 2024
Important Note: JHNY no longer offers Variable and Fixed annuity products effective December 31, 2012.   


  

JOHN HANCOCK NEW YORK

SELLING AGREEMENT

APPROVALS/APPOINTMENTS

  

Life Agent (LA) License Key Line Requirements:

For Annuities: Variable

For RPS: Life

For Insurance-Life and/or Variable

 

BROKER DEALER

  

TAX ID /

BROKER DEALER

  

APPROVAL DATE

Triad Advisors, Inc.    65-0173164    10/7/2001
Trubee, Collins & Co., Inc.    16-1406627    11/17/2005
Truist Investment Services, Inc.    58-1648698    8/16/2006
Trustmont Financial Group, Inc.    25-1527294    10/12/2005
UBS Financial Services, Inc.    13-2638166    11/11/1992
United Planners Financial Services of America    86-0588303    5/21/2001
Univest Securities Inc. DBA Universal Financial Group    11-3188003    2/25/2002
USA Financial Securities Corp.    38-3397033    7/20/2009
USI Securities, Inc.    06-1493970    1/27/2001
VALIC Financial Advisors, Inc.    76-0519992    4/26/2004
Valmark Securities, Inc.    34-1724087    3/20/2000
Vanderbilt Securities, LLC.    11-3639254    11/17/2003
Vaughan & Company Securities, Inc.    22-2578806    12/22/1997
Vision    13-4066286    5/24/2011
WBB Securities, LLC    33-0984561    7/24/2007
Wedbush Morgan Securities, Inc.    95-2495390    9/13/2007
Wells Fargo Advisors Financial Network, LLC    48-1305000    6/24/2004
Wells Fargo Clearing Services, LLC    34-1542819    1/30/2004
Westco Investment Corp.    11-2870554    6/25/1993
Western International Securities, Inc.    84-1314321    7/15/2008
Westport Resources Investment Services, Inc    22-2955076    1/17/2013
White Mountain Capital, LLC    13-4077093    6/11/2002
Wilmington Capital Securities LLC    20-1894227    1/4/2016
World Equity Group, Inc.    36-3797444    10/15/2010
XML Securities, LLC    26-1142393    9/16/2022

 

FOR INTERNAL USE ONLY    March 2024
Important Note: JHNY no longer offers Variable and Fixed annuity products effective December 31, 2012.