Daniel L. Massetti

HARTFORD FUNDS

Saratoga Springs, NY

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CRD#: 5749219

Professional summary

Daniel Lawrence Massetti, who also goes by Daniel L Massetti, is a registered financial advisor currently at HARTFORD FUNDS located in Saratoga Springs, New York and HARTFORD FUNDS DISTRIBUTORS, LLC located in Loveland, Ohio.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Daniel has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel L Massetti

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) - RIA

Click below to view Daniel Lawrence Massetti'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

January 14, 2020 - Present

HARTFORD FUNDS

RIA

CRD#: 147746

Saratoga Springs, NY

Current

January 13, 2020 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

Loveland, OH

Past

July 20, 2016 - December 20, 2019

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

SARATOGA SPRINGS, NY

Past

June 15, 2016 - December 20, 2019

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

August 26, 2014 - June 3, 2016

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

February 24, 2011 - August 19, 2014

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

January 18, 2010 - November 30, 2010

EKN FINANCIAL SERVICES INC.

CRD#: 113525

MELVILLE, NY

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

Georgia
(8/5/2021)

Indiana
(7/13/2021)

New York
(1/13/2020)

IAR

New York
(1/12/2022)

Pennsylvania
(2/28/2025)

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 65

Date: 7/18/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/19/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/2010

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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Firm Stability Insights

Daniel L. Massetti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Lawrence Massetti's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARTFORD FUNDS DISTRIBUTORS, LLC

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

FRANKLIN DISTRIBUTORS, LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

EKN FINANCIAL SERVICES INC.

Primary Firm SEC Registration

HARTFORD FUNDS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/18/2016

Series 63

Date: 3/19/2010

SIE

Date: 10/1/2018

Series 7

Date: 1/15/2010

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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