Brian E. Kraus

HARTFORD FUNDS

Wayne, PA 19087

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CRD#: 4369838

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.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Brian Edward Kraus's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

March 16, 2015 - Present

HARTFORD FUNDS

Office #1: 690 Lee Road, Wayne, PA 19087

RIA

CRD#: 147746

Wayne, PA

Current

March 16, 2015 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

Office #1: 690 Lee Road, Wayne, PA 19087

CRD#: 45995

Wayne, PA

Past

January 15, 2009 - March 17, 2015

BNY ADVISORS

RIA

CRD#: 106108

KING OF PRUSSIA, PA

Past

July 11, 2007 - May 17, 2010

LOCKWOOD FINANCIAL SERVICES, INC.

RIA

CRD#: 40655

MALVERN, PA

Past

July 19, 2006 - July 20, 2006

LOCKWOOD FINANCIAL SERVICES, INC.

RIA

CRD#: 40655

MALVERN, PA

Past

April 21, 2006 - July 10, 2007

BNY ADVISORS

RIA

CRD#: 106108

MALVERN, PA

Past

April 20, 2006 - March 17, 2015

PERSHING LLC

CRD#: 7560

KING OF PRUSSIA, PA

Past

January 5, 2006 - April 10, 2006

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

ROCKVILLE, MD

Past

July 28, 2004 - December 31, 2005

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

August 20, 2002 - May 6, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 19, 2002 - July 1, 2002

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

April 25, 2001 - October 16, 2001

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Pennsylvania
(3/16/2015)

IAR

Pennsylvania
(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

State Security Law Exam

IAR

Series 66

Date: 6/1/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/24/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/19/2018

General Securities Principal Examination

SRO Registrations

FINRA

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

Brian E. Kraus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Edward Kraus's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARTFORD FUNDS DISTRIBUTORS, LLC

BNY ADVISORS

LOCKWOOD FINANCIAL SERVICES, INC.

LOCKWOOD FINANCIAL SERVICES, INC.

BNY ADVISORS

PERSHING LLC

GUGGENHEIM DISTRIBUTORS, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

SANFORD C. BERNSTEIN & CO., LLC

WADDELL & REED

Primary Firm SEC Registration

HARTFORD FUNDS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/1/2001

SIE

Date: 10/1/2018

Series 7

Date: 4/24/2001

Series 24

Date: 1/19/2018

FINRA

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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