John B. Palmer

HARTFORD FUNDS

Seattle, WA

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CRD#: 5183469

Professional summary

John Bryson Palmer, who also goes by John Palmer, is a registered financial advisor currently at HARTFORD FUNDS located in Seattle, Washington and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. John has worked at 12 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Palmer

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.

EMPLOYEE AND INVESTMENT ADVISOR REPRESENTATIVE OF MANNING & NAPIER ADVISORS, LLC, AN AFFILIATED REGISTERED INVESTMENT ADVISOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Bryson Palmer'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

February 7, 2025 - Present

HARTFORD FUNDS

RIA

CRD#: 147746

Seattle, WA

Current

February 7, 2025 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

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

CRD#: 45995

Wayne, PA

Past

May 8, 2023 - February 6, 2025

MANNING & NAPIER ADVISORS, LLC

RIA

CRD#: 105992

Seattle, WA

Past

March 13, 2023 - February 6, 2025

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266

Seattle, WA

Past

November 18, 2021 - January 23, 2023

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

January 7, 2021 - September 30, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

SEATTLE, WA

Past

January 6, 2021 - September 30, 2021

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SEATTLE, WA

Past

May 22, 2012 - January 15, 2020

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

May 22, 2012 - January 15, 2020

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

March 25, 2011 - December 5, 2011

GUGGENHEIM DISTRIBUTORS, LLC

CRD#: 40805

SCHAUMBURG, IL

Past

June 1, 2009 - March 23, 2011

MORGAN STANLEY

RIA

CRD#: 149777

CHICAGO, IL

Past

June 1, 2009 - March 23, 2011

MORGAN STANLEY

CRD#: 149777

CHICAGO, IL

Past

September 18, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CHICAGO, IL

Past

September 6, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHICAGO, IL

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

Washington
(2/7/2025)

IAR

Washington
(2/7/2025)

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: 9/13/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/27/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/5/2006

General Securities 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)

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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

John B. Palmer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Bryson Palmer's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARTFORD FUNDS DISTRIBUTORS, LLC

MANNING & NAPIER ADVISORS, LLC

MANNING & NAPIER INVESTOR SERVICES, INC.

DWS DISTRIBUTORS, INC.

SECURITIES AMERICA, INC.

SECURITIES AMERICA ADVISORS, INC.

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

GUGGENHEIM DISTRIBUTORS, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

HARTFORD FUNDS

State Registrations and Notice Filings

Exams

Series 66

Date: 9/13/2006

SIE

Date: 10/1/2018

Series 31

Date: 11/27/2006

Series 7

Date: 9/5/2006

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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