Anthony J. Conca
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.
Anthony J Conca JR., who also goes by Aj Conca Jr., Anthony Joseph Conca Jr., Anyjony J Conca, Tony Joseph Conca Jr., was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2016. Anthony had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2016 - April 11, 2017
HARTFORD FUNDS DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Exams
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Current Firm
HARTFORD FUNDS DISTRIBUTORS, LLC
CRD#: 45995 / SEC#: 801-53584, 8-51290
Contact information
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 | |
| COGHAN, JEFFREY THOMAS | HEAD OF MARKETING, SR. VICE PRESIDENT | 2889255 |
| DIVALERIO, ANDREW | FINOP, CONTROLLER, VICE PRESIDENT, ASSISTANT TREASURER | 7634048 |
| FROST, GREGORY A. | CHAIRMAN OF THE BOARD, MANAGER, SR. MANAGING DIRECTOR, SR. VICE PRESIDENT | 2864924 |
| FURLONG, AMY NICOLE | CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT, MANAGER | 4835814 |
| JEFFERSON, KERAYA SHERIE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5046523 |
| MACKAY, JONATHAN ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT | 3136624 |
| MELCHER, JOSEPH GARY | EXECUTIVE VICE PRESIDENT | 3152206 |
| OVERHOLT, ERNIE CLARK | CHIEF OPERATIONS OFFICER, EXECUTIVE VICE PRESIDENT | 2335499 |
| PHILLIPS, THOMAS RAYMOND | CHIEF LEGAL OFFICER, SECRETARY, SR. VICE PRESIDENT | 6431521 |
| SCHOLZ, NANCY DAVIS | AML OFFICER, VICE PRESIDENT | 4474180 |
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.
