Michael J. Tobin

HARTFORD FUNDS

SAN DIEGO, CA

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CRD#: 2058822

Professional summary

Michael James Tobin, who also goes by Michael J Tobin, is a registered financial advisor currently at HARTFORD FUNDS located in San Diego, California and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael J Tobin

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Tobin's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 26, 2015 - Present

HARTFORD FUNDS

RIA

CRD#: 147746

SAN DIEGO, CA

Current

June 12, 2013 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

Office #1: 690 Lee Road, Wayne, PA 19087

CRD#: 45995

Wayne, PA

Past

November 10, 2010 - June 24, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

November 9, 2010 - June 24, 2013

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

August 23, 2010 - October 18, 2010

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

June 1, 2010 - October 18, 2010

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

SAN DIEGO, CA

Past

May 12, 2003 - June 1, 2010

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

OAKBROOK TERRACE, IL

Past

January 13, 1997 - May 22, 2003

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

December 1, 1993 - January 6, 1997

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

April 19, 1993 - November 12, 1993

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

October 13, 1992 - February 11, 1993

USLIFE EQUITY SALES CORP.

CRD#: 7962

NEW YORK, NY

Past

April 29, 1991 - October 5, 1992

NSR DISTRIBUTORS, INC.

CRD#: 20271

ENFIELD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HARTFORD FUNDS

HARTFORD FUNDS | HARTFORD INVESTMENT ADVISORY COMPANY, LLC | HARTFORD FUNDS MANAGEMENT COMPANY, LLC

CRD#: 147746 / SEC#: 801-77209

RIA

Registered Investment Advisory firm - (10/19/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(10/18/2019)

Alaska
(8/22/2013)

Arizona
(8/22/2013)

Arkansas
(10/18/2019)

California
(6/12/2013)

IAR

California
(5/26/2015)

Colorado
(8/22/2013)

Connecticut
(10/18/2019)

Delaware
(10/18/2019)

District of Columbia
(10/18/2019)

Florida
(10/18/2019)

Georgia
(10/18/2019)

Hawaii
(8/22/2013)

Idaho
(8/22/2013)

Illinois
(7/16/2018)

Indiana
(10/18/2019)

Iowa
(7/16/2018)

Kansas
(7/27/2018)

Kentucky
(10/18/2019)

Louisiana
(10/18/2019)

Maine
(10/18/2019)

Maryland
(10/18/2019)

Massachusetts
(10/18/2019)

Michigan
(3/29/2018)

Minnesota
(10/18/2019)

Mississippi
(10/18/2019)

Missouri
(7/27/2018)

Montana
(8/22/2013)

Nebraska
(11/9/2016)

Nevada
(8/22/2013)

New Hampshire
(10/18/2019)

New Jersey
(10/18/2019)

New Mexico
(8/22/2013)

New York
(10/18/2019)

North Carolina
(10/18/2019)

North Dakota
(8/22/2013)

Ohio
(10/18/2019)

Oklahoma
(10/18/2019)

Oregon
(8/22/2013)

Pennsylvania
(3/29/2018)

Puerto Rico
(10/18/2019)

Rhode Island
(10/18/2019)

South Carolina
(10/18/2019)

South Dakota
(8/22/2013)

Tennessee
(10/18/2019)

Texas
(10/18/2019)

Utah
(8/22/2013)

Vermont
(10/18/2019)

Virginia
(10/18/2019)

Washington
(8/22/2013)

West Virginia
(10/18/2019)

Wisconsin
(10/18/2019)

Wyoming
(8/22/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/19/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/25/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HARTFORD FUNDS

HARTFORD FUNDS | HARTFORD INVESTMENT ADVISORY COMPANY, LLC | HARTFORD FUNDS MANAGEMENT COMPANY, LLC

CRD#: 147746 / SEC#: 801-77209

RIA

Registered Investment Advisory firm - (10/19/2012 Approved)

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Contact information

Main Address

690 Lee Road, Wayne, PA 19087

Mailing Address

Phone number

(610) 386-1801

Established

Firm type

Fiscal year end

# of Employees

387

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HFMC FORM ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 137,847,211,395

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael J. Tobin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Tobin's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARTFORD FUNDS DISTRIBUTORS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

INVESCO CAPITAL MARKETS, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

VP DISTRIBUTORS LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

USLIFE EQUITY SALES CORP.

NSR DISTRIBUTORS, INC.

Primary Firm SEC Registration

HARTFORD FUNDS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/19/2010

Series 63

Date: 10/23/1992

SIE

Date: 10/1/2018

Series 7

Date: 7/16/2003

Series 6

Date: 4/25/1991

Series 24

Date: 10/8/2003

FINRA

Current Firm

HARTFORD FUNDS

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARTFORD FUNDS

TRUST BUT VERIFY

Contact information

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