Brian Edward Kraus
Professional Summary
Brian Edward Kraus is a registered financial advisor currently at HARTFORD FUNDS located in Wayne, Pennsylvania and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania. Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Brian has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
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Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
HARTFORD FUNDS | HARTFORD INVESTMENT ADVISORY COMPANY, LLC | HARTFORD FUNDS MANAGEMENT COMPANY, LLC
Contact Information
Main Address
690 Lee Road, Wayne, PA 19087Phone Number
(610) 386-1801# of Employees
368SEC notice filing (23 States and Territories)
Registered to provide investment advisory services in 23 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
91AUM (Assets Under Management)
$152,069,322,810Similar Advisors
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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.
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Primary Firm SEC Registration
HARTFORD FUNDS | HARTFORD INVESTMENT ADVISORY COMPANY, LLC | HARTFORD FUNDS MANAGEMENT COMPANY, LLC
State Registrations and Notice Filings
(3/16/2015)
(3/16/2015)
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
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) - RIA
Click below to view Brian Edward Kraus's CRS (Customer Relationship Summary).
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