MS
Martin A. Swanson
HARTFORD FUNDS DISTRIBUTORS
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 1414020
MS
Professional summary
Martin Allen Swanson, who also goes by Marty Swanson, is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
Martin is registered as a RR (Registered Representative) and started their career in finance in 1985. Martin has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Marty Swanson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Martin Allen Swanson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 14, 2004 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087BD
CRD#: 45995
Wayne, PA
Past
October 19, 2009 - December 20, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
SIMSBURY, CT
Past
February 19, 2002 - January 9, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
BD
CRD#: 37819
SIMSBURY, CT
Past
August 31, 2001 - November 13, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
SIMSBURY, CT
Past
October 11, 1985 - November 23, 1985
FIRST INTERREGIONAL EQUITY CORP.
BD
CRD#: 7486
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/23/2019)
RR
Alaska(7/23/2019)
RR
Arizona(7/23/2019)
RR
Arkansas(7/23/2019)
RR
California(7/23/2019)
RR
Colorado(7/23/2019)
RR
Connecticut(4/6/2004)
RR
Delaware(7/23/2019)
RR
District of Columbia(7/23/2019)
RR
Florida(7/23/2019)
RR
Georgia(7/23/2019)
RR
Hawaii(7/23/2019)
RR
Idaho(7/23/2019)
RR
Illinois(7/23/2019)
RR
Indiana(7/23/2019)
RR
Iowa(7/23/2019)
RR
Kansas(7/23/2019)
RR
Kentucky(7/23/2019)
RR
Louisiana(7/23/2019)
RR
Maine(7/23/2019)
RR
Maryland(7/23/2019)
RR
Massachusetts(7/23/2019)
RR
Michigan(7/23/2019)
RR
Minnesota(7/23/2019)
RR
Mississippi(7/23/2019)
RR
Missouri(7/23/2019)
RR
Montana(7/23/2019)
RR
Nebraska(7/23/2019)
RR
Nevada(7/23/2019)
RR
New Hampshire(7/23/2019)
RR
New Jersey(7/23/2019)
RR
New Mexico(7/23/2019)
RR
New York(7/23/2019)
RR
North Carolina(7/23/2019)
RR
North Dakota(7/23/2019)
RR
Ohio(7/23/2019)
RR
Oklahoma(7/23/2019)
RR
Oregon(7/23/2019)
RR
Pennsylvania(1/5/2015)
RR
Puerto Rico(7/23/2019)
RR
Rhode Island(7/23/2019)
RR
South Carolina(7/23/2019)
RR
South Dakota(7/23/2019)
RR
Tennessee(7/23/2019)
RR
Texas(7/23/2019)
RR
Utah(7/23/2019)
RR
Vermont(7/23/2019)
RR
Virginia(7/23/2019)
RR
Washington(7/23/2019)
RR
West Virginia(7/23/2019)
RR
Wisconsin(7/23/2019)
RR
Wyoming(7/23/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HF
HARTFORD FUNDS DISTRIBUTORS, LLC
HARTFORD FUNDS DISTRIBUTORS, LLC | HARTFORD INVESTMENT FINANCIAL SERVICES, LLC | HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY
CRD#: 45995 / SEC#: 801-53584, 8-51290
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
690 Lee Road, Wayne, PA 19087
Mailing Address
690 Lee Road, Wayne, PA 19087
Phone number
(610) 386-4088
Established
Delaware since 10/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FUNDS MANAGEMENT GROUP, INC | OWNER OF HARTFORD FUNDS DISTRIBUTORS, LLC | |
| DIVALERIO, ANDREW | FINOP, CONTROLLER, VICE PRESIDENT | 7634048 |
| FROST, GREGORY A. | CHAIRMAN OF THE BOARD, SR. MANAGING DIRECTOR | 2864924 |
| FURLONG, AMY NICOLE | CHIEF FINANCIAL OFFICER, BOARD MANAGER, EXECUTIVE VICE PRESIDENT | 4835814 |
| GARGER, WALTER FRANCIS | GENERAL COUNSEL AND MANAGING DIRECTOR | 4753411 |
| JEFFERSON, KERAYA SHERIE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5046523 |
| JORENS, KATHLEEN E | TREASURER, SENIOR VICE PRESIDENT | 6145607 |
| MACKAY, JONATHAN ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT | 3136624 |
| MELCHER, JOSEPH GARY | AML OFFICER, EXECUTIVE VICE PRESIDENT | 3152206 |
| SWANSON, MARTIN ALLEN | CHIEF MARKETING OFFICER, VICE PRESIDENT | 1414020 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
