Thomas J. Grasso
Professional summary
Thomas J Grasso JR., who also goes by Thomas J Grasso, is a registered financial advisor currently at HARTFORD FUNDS located in Royersford, Pennsylvania and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas J Grasso JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
April 6, 2018 - Present
HARTFORD FUNDS
April 2, 2018 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087December 9, 2014 - December 13, 2017
CAPITAL ANALYSTS
October 18, 2011 - December 13, 2017
LINCOLN INVESTMENT
October 15, 2001 - December 13, 2017
LINCOLN INVESTMENT
Primary Firm SEC Registration
HARTFORD FUNDS
CRD#: 147746 / SEC#: 801-77209
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/28/2018)
(4/4/2018)
(10/3/2018)
(10/1/2018)
(10/1/2018)
(5/2/2018)
(10/26/2018)
(10/4/2018)
(5/4/2018)
(4/3/2018)
(10/2/2018)
(4/3/2018)
(4/3/2018)
(4/6/2018)
(11/7/2019)
(10/3/2018)
(10/1/2018)
(10/25/2018)
(4/12/2018)
Exams
FINRA
Current Firm
HARTFORD FUNDS
CRD#: 147746 / SEC#: 801-77209
Contact information
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 137,847,211,395 |
Red Flags
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