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SP

Stephen J. Pandullo

TALCOTT RESOLUTION DISTRIBUTION COMPANY
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 5367670
SP

Professional summary

Stephen Joseph Pandullo, CFP® is a registered financial professional currently at TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC. located in Hartford, Connecticut.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

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 Stephen Joseph Pandullo'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®
CFP®

Certified Financial Planner

Experience

Current

September 24, 2025 - Present

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

Office #1: One American Row, Hartford, CT 06103
BD
CRD#: 37819
Hartford, CT
Past

June 26, 2015 - June 2, 2025

ATHENE SECURITIES, LLC

BD
CRD#: 36867
WEST DES MOINES, IA
Past

April 1, 2014 - June 15, 2015

JBS LIBERTY SECURITIES, INC.

BD
CRD#: 36179
WEST DES MOINES, IA
Past

February 20, 2012 - March 12, 2014

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA
Past

July 23, 2007 - January 27, 2009

COUNTRY CAPITAL MANAGEMENT COMPANY

BD
CRD#: 12060
WEST DES MOINES, IA

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
Iowa
(9/24/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/8/2012
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: 2/17/2012
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TR
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
HARTFORD SECURITIES DISTRIBUTION COMPANY, INC. | TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819 / SEC#: , 8-48097

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

Main Address
One American Row, Hartford, CT 06103
Mailing Address
One American Row, Hartford, CT 06103
Phone number
(860) 791-0000
Established
Connecticut since 08/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TALCOTT HOLDINGS, LPPARENT OF APPLICANT
CONNER, CHRISTOPHER SCOTTCHIEF COMPLIANCE OFFICER AND DIRECTOR2239639
DAGNAULT, CHRISTOPHER JOHNCEO, PRESIDENT AND DIRECTOR2311161
MATTHEWS, STILA HSUANPINGAML OFFICER AND ASSISTANT SECRETARY5745148
ROSA, ANTONIO T JRFINOP, CFO AND TREASURER6963656

Disclosures

Regulatory Event1
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819Hartford, CT 06103

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