Richard C. Fuerman
Professional summary
Richard Charles Fuerman, who also goes by Rick Fuerman, is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Charles Fuerman's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 22, 2019 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087January 10, 2019 - April 12, 2019
PROFUNDS DISTRIBUTORS, INC.
December 6, 2016 - January 11, 2017
ORCHARD SECURITIES, LLC
May 23, 2014 - January 9, 2016
ORCHARD SECURITIES, LLC
December 16, 2010 - November 7, 2013
TRANSAMERICA INVESTORS SECURITIES, LLC
August 2, 2006 - February 3, 2009
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 28, 2004 - June 19, 2006
MISSIONSQUARE WEALTH MANAGEMENT
August 13, 2003 - May 5, 2004
NEWPORT GROUP SECURITIES, INC.
August 15, 2001 - May 13, 2002
NYLIFE DISTRIBUTORS LLC
April 28, 1999 - December 6, 2001
NYLIFE SECURITIES LLC
December 1, 1997 - November 9, 1998
UAM FUND DISTRIBUTORS, INC.
April 16, 1996 - July 2, 1996
BOENNING & SCATTERGOOD, INC.
June 15, 1994 - November 9, 1995
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/22/2019)
(8/27/2024)
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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