Vincent J. Delfini
Professional summary
Vincent James Delfini is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 1990. Vincent has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vincent James Delfini's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 14, 2009 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087July 14, 2009 - December 31, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
July 14, 2009 - December 31, 2012
HIMCO DISTRIBUTION SERVICES COMPANY
March 9, 2005 - December 31, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 23, 2000 - March 14, 2005
1717 CAPITAL MANAGEMENT COMPANY
February 25, 2000 - April 28, 2000
PRUCO SECURITIES, LLC.
November 16, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 16, 1990 - December 1, 1999
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/11/2013)
Exams
FINRA
Current Firm
HARTFORD FUNDS DISTRIBUTORS, LLC
CRD#: 45995 / SEC#: 801-53584, 8-51290
Contact information
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
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