Thomas Michael Dewbray Jr
Professional Summary
Thomas Michael Dewbray JR, who also goes by Thomas M (jr) Dewbray, Tom Dewbray, Tom Dewbrey, is a registered financial advisor currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1998. Thomas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas M (jr) Dewbray, Tom Dewbray, Tom Dewbrey
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
HARTFORD FUNDS DISTRIBUTORS, LLC | HARTFORD INVESTMENT FINANCIAL SERVICES, LLC | HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY
Contact Information
Main Address
690 Lee Road, Wayne, PA 19087Mailing Address
690 Lee Road, Wayne, PA 19087Phone Number
(610) 386-4088Established
Delaware since 10/01/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FUNDS MANAGEMENT GROUP, INC | OWNER OF HARTFORD FUNDS DISTRIBUTORS, LLC | — |
| COGHAN, JEFFREY THOMAS | HEAD OF MARKETING, SR. VICE PRESIDENT | 2889255 |
| DIVALERIO, ANDREW | FINOP, CONTROLLER, VICE PRESIDENT, ASSISTANT TREASURER | 7634048 |
| FROST, GREGORY A. | CHAIRMAN OF THE BOARD, MANAGER, SR. MANAGING DIRECTOR, SR. VICE PRESIDENT | 2864924 |
| FURLONG, AMY NICOLE | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT, MANAGER | 4835814 |
| JEFFERSON, KERAYA SHERIE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5046523 |
| MACKAY, JONATHAN ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT | 3136624 |
| MELCHER, JOSEPH GARY | EXECUTIVE VICE PRESIDENT | 3152206 |
| OVERHOLT, ERNIE CLARK | CHIEF OPERATIONS OFFICER, EXECUTIVE VICE PRESIDENT | 2335499 |
| PHILLIPS, THOMAS RAYMOND | CHIEF LEGAL OFFICER, SECRETARY, SR. VICE PRESIDENT | 6431521 |
| SCHOLZ, NANCY DAVIS | AML OFFICER, VICE PRESIDENT | 4474180 |
Disclosures
Regulatory Event
3Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(2/28/2025)
(8/6/2021)
(12/22/2020)
(2/5/2026)
(12/3/2012)
(8/6/2021)
(1/4/2021)
(2/21/2024)
(12/22/2020)
(2/24/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Michael Dewbray JR's CRS (Customer Relationship Summary).
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