JC
Joseph M. Connolly
HARTFORD FUNDS DISTRIBUTORS
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 5418401
JC
Professional summary
Joseph Michael Connolly II, CFP®, who also goes by Joseph Michael Connolly II, Joseph Michael Connolly, is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2007. Joseph has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joseph Michael Connolly Ii | Joseph Michael Connolly
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.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Michael Connolly II'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®
Start date: 2019
Experience
Current
January 7, 2026 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087BD
CRD#: 45995
Wayne, PA
Past
February 7, 2024 - January 5, 2026
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
Boston, MA
Past
September 3, 2020 - October 2, 2023
DELOS CAPITAL ADVISORS
RIA
CRD#: 300734
Newport Beach, CA
Past
April 16, 2018 - August 17, 2020
ATHENE SECURITIES, LLC
BD
CRD#: 36867
WEST DES MOINES, IA
Past
March 7, 2018 - April 4, 2018
DIRECTED SERVICES LLC
BD
CRD#: 21675
WEST CHESTER, PA
Past
February 16, 2015 - December 31, 2017
CR CAPITAL DISTRIBUTORS, LLC
BD
CRD#: 171776
Newport Beach, CA
Past
March 4, 2013 - February 21, 2014
STIRA CAPITAL MARKETS GROUP, LLC
BD
CRD#: 141277
IRVINE, CA
Past
March 6, 2012 - December 11, 2012
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
WOODLAND HILLS, CA
Past
March 6, 2008 - December 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
WELLESLEY HILLS, MA
Past
September 24, 2007 - February 6, 2008
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
MARSHFIELD, MA
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
Alabama(1/12/2026)
RR
Alaska(1/20/2026)
RR
Arizona(1/21/2026)
RR
Arkansas(1/13/2026)
RR
California(1/9/2026)
RR
Colorado(1/13/2026)
RR
Connecticut(1/13/2026)
RR
Delaware(1/12/2026)
RR
District of Columbia(1/7/2026)
RR
Florida(1/7/2026)
RR
Georgia(1/8/2026)
RR
Hawaii(2/5/2026)
RR
Idaho(1/8/2026)
RR
Illinois(1/7/2026)
RR
Indiana(1/22/2026)
RR
Iowa(1/12/2026)
RR
Kansas(1/8/2026)
RR
Kentucky(1/7/2026)
RR
Louisiana(1/12/2026)
RR
Maine(1/12/2026)
RR
Maryland(1/13/2026)
RR
Massachusetts(1/8/2026)
RR
Michigan(1/7/2026)
RR
Minnesota(1/7/2026)
RR
Mississippi(1/7/2026)
RR
Missouri(1/8/2026)
RR
Montana(1/7/2026)
RR
Nebraska(1/7/2026)
RR
Nevada(1/12/2026)
RR
New Hampshire(1/13/2026)
RR
New Jersey(1/7/2026)
RR
New Mexico(1/12/2026)
RR
New York(2/24/2026)
RR
North Carolina(1/9/2026)
RR
North Dakota(1/15/2026)
RR
Ohio(1/10/2026)
RR
Oklahoma(1/7/2026)
RR
Oregon(1/12/2026)
RR
Pennsylvania(1/8/2026)
RR
Puerto Rico(2/3/2026)
RR
Rhode Island(1/15/2026)
RR
South Carolina(1/7/2026)
RR
South Dakota(1/7/2026)
RR
Tennessee(1/12/2026)
RR
Texas(1/7/2026)
RR
Utah(1/12/2026)
RR
Vermont(1/12/2026)
RR
Virginia(1/12/2026)
RR
Washington(1/7/2026)
RR
West Virginia(1/12/2026)
RR
Wisconsin(1/7/2026)
RR
Wyoming(1/12/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/28/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARTFORD FUNDS MANAGEMENT GROUP, INC | OWNER OF HARTFORD FUNDS DISTRIBUTORS, LLC | |
| DIVALERIO, ANDREW | FINOP, CONTROLLER, VICE PRESIDENT | 7634048 |
| FROST, GREGORY A. | CHAIRMAN OF THE BOARD, SR. MANAGING DIRECTOR | 2864924 |
| FURLONG, AMY NICOLE | CHIEF FINANCIAL OFFICER, BOARD MANAGER, EXECUTIVE VICE PRESIDENT | 4835814 |
| GARGER, WALTER FRANCIS | GENERAL COUNSEL AND MANAGING DIRECTOR | 4753411 |
| JEFFERSON, KERAYA SHERIE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5046523 |
| JORENS, KATHLEEN E | TREASURER, SENIOR VICE PRESIDENT | 6145607 |
| MACKAY, JONATHAN ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT | 3136624 |
| MELCHER, JOSEPH GARY | AML OFFICER, EXECUTIVE VICE PRESIDENT | 3152206 |
| SWANSON, MARTIN ALLEN | CHIEF MARKETING OFFICER, VICE PRESIDENT | 1414020 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
