David A. Gannett
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David A Gannett, who also goes by David A Gannett, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2007. David had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2015 - July 13, 2018
HARTFORD FUNDS
April 2, 2014 - December 31, 2014
HARTFORD FUNDS
December 3, 2012 - July 13, 2018
HARTFORD FUNDS DISTRIBUTORS, LLC
March 5, 2012 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 14, 2009 - March 15, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 2009 - March 15, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2007 - December 10, 2007
SEI INVESTMENTS DISTRIBUTION CO.
Primary Firm SEC Registration
HARTFORD FUNDS
CRD#: 147746 / SEC#: 801-77209
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HARTFORD FUNDS
CRD#: 147746 / SEC#: 801-77209
Contact information
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 137,847,211,395 |
Red Flags
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