Richard M. Benn
Professional summary
Richard Michael Benn is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Loveland, Ohio.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Michael Benn's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 25, 2013 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
January 3, 2013 - March 11, 2013
GUARDIAN INVESTOR SERVICES LLC
January 28, 2005 - November 9, 2012
GUARDIAN INVESTOR SERVICES LLC
February 19, 2004 - March 5, 2004
CITIGROUP GLOBAL MARKETS INC.
December 10, 2002 - January 27, 2003
WORLDCO, L.L.C.
December 11, 2000 - February 21, 2001
BROKERAGEAMERICA, INC
June 15, 1999 - November 2, 2000
SHARPE CAPITAL, INC.
December 11, 1998 - May 20, 1999
PACIFIC CONTINENTAL SECURITIES 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
(2/21/2024)
(6/28/2013)
(6/27/2013)
(2/28/2025)
Exams
Series 55
Date: 9/20/2000
Limited Representative-Equity Trader ExamFINRA
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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