Darren A. Brich

HARTFORD FUNDS

Lake Geneva, WI

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CRD#: 3022752

Professional summary

Darren Anthony Brich is a registered financial advisor currently at HARTFORD FUNDS located in Lake Geneva, Wisconsin and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.

Darren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Darren has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Darren Anthony Brich'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

October 21, 2020 - Present

HARTFORD FUNDS

RIA

CRD#: 147746

Lake Geneva, WI

Current

October 21, 2020 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

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

CRD#: 45995

Wayne, PA

Past

April 9, 2011 - August 7, 2020

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

January 3, 2011 - August 7, 2020

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

June 1, 2005 - January 3, 2011

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

July 22, 2003 - April 7, 2005

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

RIA

CRD#: 104518

CHICAGO, IL

Past

May 28, 1998 - April 7, 2005

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

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

Illinois
(10/21/2020)

Minnesota
(2/22/2022)

Wisconsin
(10/21/2020)

IAR

Wisconsin
(10/21/2020)

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: 3/30/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/1998

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: 7/13/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/17/1998

Investment Company Products/Variable Contracts Representative 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Darren A. Brich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Darren Anthony Brich's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARTFORD FUNDS DISTRIBUTORS, LLC

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

QUASAR DISTRIBUTORS, LLC

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

DWS DISTRIBUTORS, INC.

Primary Firm SEC Registration

HARTFORD FUNDS

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2011

Series 63

Date: 6/5/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/13/1999

Series 6

Date: 4/17/1998

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

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