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LF

Linda M. Farrell

HARTFORD FUNDS DISTRIBUTORS
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 5163385
LF

Professional summary

Linda Marie Farrell is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.

Linda is registered as a RR (Registered Representative) and started their career in finance in 2006. Linda has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Linda Marie Farrell's 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

April 29, 2016 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

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

July 31, 2008 - December 10, 2012

ABERDEEN FUND DISTRIBUTORS, LLC

BD
CRD#: 146230
PHILADELPHIA, PA
Past

September 27, 2007 - August 1, 2008

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
WEST CONSHOHOCKEN, PA
Past

September 18, 2006 - October 1, 2007

NATIONWIDE FUND DISTRIBUTORS LLC

BD
CRD#: 25910
WEST CONSHOHOCKEN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Pennsylvania
(6/30/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/2016
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 6
Date: 4/29/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HF
HARTFORD FUNDS DISTRIBUTORS, LLC
HARTFORD FUNDS DISTRIBUTORS, LLC | HARTFORD INVESTMENT FINANCIAL SERVICES, LLC | HARTFORD INVESTMENT FINANCIAL SERVICES COMPANY

CRD#: 45995 / SEC#: 801-53584, 8-51290

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
690 Lee Road, Wayne, PA 19087
Mailing Address
690 Lee Road, Wayne, PA 19087
Phone number
(610) 386-4088
Established
Delaware since 10/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

HARTFORD INVESTMENT FINANCIAL SERVICES, LLC ADV PART 2A (3/30/2012)

Direct owners and executive officers

NamePositionCRD#
HARTFORD FUNDS MANAGEMENT GROUP, INCOWNER OF HARTFORD FUNDS DISTRIBUTORS, LLC
DIVALERIO, ANDREWFINOP, CONTROLLER, VICE PRESIDENT7634048
FROST, GREGORY A.CHAIRMAN OF THE BOARD, SR. MANAGING DIRECTOR2864924
FURLONG, AMY NICOLECHIEF FINANCIAL OFFICER, BOARD MANAGER, EXECUTIVE VICE PRESIDENT4835814
GARGER, WALTER FRANCISGENERAL COUNSEL AND MANAGING DIRECTOR4753411
JEFFERSON, KERAYA SHERIECHIEF COMPLIANCE OFFICER, VICE PRESIDENT5046523
JORENS, KATHLEEN ETREASURER, SENIOR VICE PRESIDENT6145607
MACKAY, JONATHAN ROBERTCHIEF EXECUTIVE OFFICER, PRESIDENT3136624
MELCHER, JOSEPH GARYAML OFFICER, EXECUTIVE VICE PRESIDENT3152206
SWANSON, MARTIN ALLENCHIEF MARKETING OFFICER, VICE PRESIDENT1414020

Disclosures

Regulatory Event3
Arbitration1

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 DISTRIBUTORS, LLC

CRD#: 45995Wayne, PA 19087

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