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TA

Toby T. Allen

HARTFORD FUNDS DISTRIBUTORS
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 5463361
TA

Professional summary

Toby Thomas Allen, who also goes by Toby T Allen, Toby Thomas Allen, is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.

Toby is registered as a RR (Registered Representative) and started their career in finance in 2008. Toby has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Toby T Allen | Toby Thomas Allen

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 Toby Thomas Allen'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

October 15, 2021 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

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

March 17, 2017 - September 15, 2021

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA
Past

January 23, 2008 - July 26, 2011

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, 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
(10/18/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 3/31/2017
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: 3/17/2017
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.

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Company Information

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995Wayne, PA 19087

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