JAMES M. OATES - Corporate Board Profile

JOHN HANCOCK INCOME SECURITIES TRUST

Filing Date	Source Excerpt
2012-09-13	Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (since 2000); Independent Chairman, Hudson Castle Group, Inc. (1997-2011).
2013-12-24	James M. Oates - As a senior officer and director of investment management companies, Mr. Oates has experience in investment management. Mr. Oates previously served as chief executive officer of two banks.
2014-11-25	Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (since 2000); Independent Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.) (financial services company) (1997–2011); Director, Stifel Financial (since 1996); Director, Investor Financial Services Corporation (1995–2007); Director, Connecticut River Bancorp (since 1998); Director, Virtus Funds (formerly Phoenix Mutual Funds) (since 1988).
2015-12-07	Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (since 2000); Independent Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.) (financial services company) (1997–2011); Director, Stifel Financial (since 1996); Director, Investor Financial Services Corporation (1995–2007); Director, Connecticut River Bancorp (1998-2014); Director, Virtus Funds (formerly Phoenix Mutual Funds) (since 1988).
2016-11-18	Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (2000–2015); Independent Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.) (financial services company) (1997–2011); Director, Stifel Financial (since 1996); Director, Investor Financial Services Corporation (1995–2007); Director, Connecticut River Bancorp (1998–2014); Director, Virtus Funds (formerly Phoenix Mutual Funds) (since 1988).
2017-12-14	Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (2000–2015); Independent Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.) (financial services company) (1997–2011); Director, Stifel Financial (since 1996); Director, Investor Financial Services Corporation (1995–2007); Director, Connecticut River Bancorp (1998–2014); Director/Trustee, Virtus Funds (since 1988).
2018-12-13	Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (2000–2015); Independent Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.) (financial services company) (1997–2011); Director, Stifel Financial (since 1996); Director, Investor Financial Services Corporation (1995–2007); Director, Connecticut River Bancorp (1998–2014); Director/Trustee, Virtus Funds (since 1988).
2019-12-12	Managing Director, Wydown Group; Chairman and Director, Emerson Investment Management; Director, Stifel Financial.
2020-12-10	Managing Director, Wydown Group; Chairman and Director, Emerson Investment Management; Independent Chairman, Hudson Castle Group.

JOHN HANCOCK INVESTORS TRUST

Filing Date	Source Excerpt
2012-09-13	Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (since 2000); Independent Chairman, Hudson Castle Group, Inc. (1997–2011).
2013-12-24	James M. Oates - As a senior officer and director of investment management companies, Mr. Oates has experience in investment management.
2014-11-25	James M. Oates - As a senior officer and director of investment management companies, Mr. Oates has experience in investment management.
2015-12-07	Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (since 2000); Independent Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.) (financial services company) (1997–2011); Director, Stifel Financial (since 1996); Director, Investor Financial Services Corporation (1995–2007); Director, Connecticut River Bancorp (1998-2014); Director, Virtus Funds (formerly Phoenix Mutual Funds) (since 1988).
2016-11-18	Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (2000–2015); Independent Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.) (financial services company) (1997–2011); Director, Stifel Financial (since 1996); Director, Investor Financial Services Corporation (1995–2007); Director, Connecticut River Bancorp (1998–2014); Director, Virtus Funds (formerly Phoenix Mutual Funds) (since 1988).
2017-12-14	Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (2000–2015); Independent Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.) (financial services company) (1997–2011); Director, Stifel Financial (since 1996); Director, Investor Financial Services Corporation (1995–2007); Director, Connecticut River Bancorp (1998–2014); Director/Trustee, Virtus Funds (since 1988).
2018-12-13	Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (2000–2015); Independent Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.) (financial services company) (1997–2011); Director, Stifel Financial (since 1996); Director, Investor Financial Services Corporation (1995–2007); Director, Connecticut River Bancorp (1998–2014); Director/Trustee, Virtus Funds (since 1988).
2019-12-12	Managing Director, Wydown Group; Chairman and Director, Emerson Investment Management; Director, Stifel Financial.
2020-12-10	Managing Director, Wydown Group; Chairman and Director, Emerson Investment Management; Director, Stifel Financial.

Filing Date

Source Excerpt

2012-09-13

2013-12-24

James M. Oates - As a senior officer and director of investment management companies, Mr. Oates has experience in investment management.

2014-11-25

James M. Oates - As a senior officer and director of investment management companies, Mr. Oates has experience in investment management.

2015-12-07

Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (since 2000); Independent Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.) (financial services company) (1997–2011); Director, Stifel Financial (since 1996); Director, Investor Financial Services Corporation (1995–2007); Director, Connecticut River Bancorp (1998-2014); Director, Virtus Funds (formerly Phoenix Mutual Funds) (since 1988).

2016-11-18

Managing Director, Wydown Group (financial consulting firm) (since 1994); Chairman and Director, Emerson Investment Management, Inc. (2000–2015); Independent Chairman, Hudson Castle Group, Inc. (formerly IBEX Capital Markets, Inc.) (financial services company) (1997–2011); Director, Stifel Financial (since 1996); Director, Investor Financial Services Corporation (1995–2007); Director, Connecticut River Bancorp (1998–2014); Director, Virtus Funds (formerly Phoenix Mutual Funds) (since 1988).

2017-12-14

2018-12-13

2019-12-12

Managing Director, Wydown Group; Chairman and Director, Emerson Investment Management; Director, Stifel Financial.

2020-12-10

Managing Director, Wydown Group; Chairman and Director, Emerson Investment Management; Director, Stifel Financial.

STIFEL FINANCIAL CORP

Filing Date	Source Excerpt
2018-04-25	Managing Director, The Wydown Group, a financial consulting firm Chairman, Hudson Castle Group, Inc., a financial services company.
2018-08-21	Non-employee directors of the Company are required to defer all director fees into stock units pursuant to the Equity Incentive Plan for Non-Employee Directors (2008 Restatement). These stock units are generally granted annually in May and vest on a quarterly basis over a one-year period.
2019-04-25	Managing Director, The Wydown Group, a financial consulting firm (1994 – present)
2020-04-03	Managing Director, The Wydown Group, a financial consulting firm (1994 – present); Chairman, Hudson Castle Group, Inc., a financial services company (1997 – 2011)

Filing Date

Source Excerpt

2018-04-25

Managing Director, The Wydown Group, a financial consulting firm Chairman, Hudson Castle Group, Inc., a financial services company.

2018-08-21

Non-employee directors of the Company are required to defer all director fees into stock units pursuant to the Equity Incentive Plan for Non-Employee Directors (2008 Restatement). These stock units are generally granted annually in May and vest on a quarterly basis over a one-year period.

2019-04-25

Managing Director, The Wydown Group, a financial consulting firm (1994 – present)

2020-04-03

Managing Director, The Wydown Group, a financial consulting firm (1994 – present); Chairman, Hudson Castle Group, Inc., a financial services company (1997 – 2011)

Data sourced from SEC filings. Last updated: 2025-07-01