Douglas M. Stockslager

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CRD#: 4195114

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Douglas Michael Stockslager, CIMA® was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 2001. Douglas had worked at 7 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 6, Series 30 and Series 24 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Past

August 28, 2018 - August 6, 2026

HARTFORD FUNDS

RIA

CRD#: 147746

Berthoud, CO

Past

August 28, 2018 - August 6, 2026

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

Berthoud, CO

Past

January 22, 2016 - August 20, 2018

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

April 8, 2004 - September 18, 2015

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

DANVILLE, CA

Past

October 17, 2003 - September 18, 2015

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

October 11, 2002 - October 2, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

February 12, 2002 - October 2, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 9, 2001 - February 12, 2002

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/21/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/23/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/11/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/8/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 30

Date: 4/18/2016

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 5/24/2005

General Securities Principal Examination

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

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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Advisor Monitoring

Firm Stability Insights

Douglas M. Stockslager

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HARTFORD FUNDS DISTRIBUTORS, LLC

ALPS DISTRIBUTORS, INC.

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

Primary Firm SEC Registration

HARTFORD FUNDS

State Registrations and Notice Filings

Exams

Series 66

Date: 2/21/2002

SIE

Date: 10/1/2018

Series 3

Date: 2/23/2016

Series 7

Date: 2/11/2002

Series 6

Date: 3/8/2001

Series 30

Date: 4/18/2016

Series 24

Date: 5/24/2005

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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