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GD

Gustavo O. De La Roca

HARTFORD FUNDS
Glendale, CA
Some features on this profile are disabled
CRD#: 4515777
GD

Professional summary

Gustavo Oliverto De La Roca, who also goes by Gustavo Oliverto De La Roca, is a registered financial advisor currently at HARTFORD FUNDS located in Glendale, California and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.

Gustavo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Gustavo has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gustavo Oliverto De La Roca

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.
1) 10/26/2020 - Premier America Investment & Retirement Services - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 10/2020 - 100% of time 2) 12/17/2020 - Premier America Wealth Management Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/14/2020 - 150 Hours Per Month/150 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gustavo Oliverto De La Roca'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 12, 2025 - Present

HARTFORD FUNDS

RIA
CRD#: 147746
Glendale, CA
Current

March 12, 2025 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

Office #1: 690 Lee Road, Wayne, PA 19087
BD
CRD#: 45995
Wayne, PA
Past

January 6, 2025 - March 13, 2025

KOVITZ INVESTMENT GROUP PARTNERS, LLC

RIA
CRD#: 282241
Glendale, CA
Past

June 3, 2024 - December 31, 2024

KOVITZ INVESTMENT GROUP PARTNERS, LLC

RIA
CRD#: 282241
Glendale, CA
Past

October 3, 2023 - July 25, 2024

CONNECTUS WEALTH

RIA
CRD#: 310912
Glendale, CA
Past

August 2, 2021 - October 2, 2023

LPL FINANCIAL LLC

RIA
CRD#: 6413
WOODLAND HILLS, CA
Past

October 29, 2020 - October 2, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
WOODLAND HILLS, CA
Past

October 23, 2019 - October 13, 2020

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
SAN MATEO, CA
Past

June 10, 2002 - October 13, 2020

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

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".
HF
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.
RR
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

RR
California
(3/12/2025)
IAR
California
(3/12/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/30/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/6/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/23/2002
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HF
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts94
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.

Company Information

HARTFORD FUNDS

CRD#: 147746Glendale, CA

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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