Megan Mooney

HARTFORD FUNDS

Philadelphia, PA

Some features on this profile are disabled

CRD#: 4843873

Professional summary

Megan Mooney, who also goes by Megan C Mooney, is a registered financial advisor currently at HARTFORD FUNDS located in Philadelphia, Pennsylvania and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.

Megan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Megan has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Megan C Mooney

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 Megan Mooney'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

September 11, 2019 - Present

HARTFORD FUNDS

RIA

CRD#: 147746

Philadelphia, PA

Current

September 13, 2019 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

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

CRD#: 45995

Wayne, PA

Past

February 14, 2017 - September 26, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WASHINGTON, DC

Past

November 11, 2016 - September 26, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WASHINGTON, DC

Past

March 21, 2014 - December 8, 2015

LINCOLN INVESTMENT

RIA

CRD#: 519

WYNCOTE, PA

Past

March 21, 2014 - December 8, 2015

CAPITAL ANALYSTS

RIA

CRD#: 162200

WYNCOTE, PA

Past

November 8, 2013 - December 8, 2015

LINCOLN INVESTMENT

CRD#: 519

WYNCOTE, PA

Past

November 16, 2009 - October 29, 2013

ABERDEEN FUND DISTRIBUTORS, LLC

CRD#: 146230

PHILADELPHIA, PA

Past

November 28, 2008 - October 28, 2009

NATIONWIDE FUND DISTRIBUTORS LLC

CRD#: 25910

COLUMBUS, OH

Past

September 8, 2004 - December 19, 2006

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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

IAR

Pennsylvania
(9/11/2019)

Pennsylvania
(9/13/2019)

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: 6/20/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/15/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/7/2004

Investment Company Products/Variable Contracts Representative 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Megan Mooney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Megan Mooney's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARTFORD FUNDS DISTRIBUTORS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

LINCOLN INVESTMENT

CAPITAL ANALYSTS

LINCOLN INVESTMENT

ABERDEEN FUND DISTRIBUTORS, LLC

NATIONWIDE FUND DISTRIBUTORS LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

HARTFORD FUNDS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/20/2017

Series 63

Date: 9/15/2004

SIE

Date: 9/26/2017

Series 7

Date: 5/21/2014

Series 6

Date: 9/7/2004

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

Similar Advisors