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Bradley R. Yocum

HARTFORD FUNDS
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 5844917
BY

Professional summary

Bradley Robert Yocum, who also goes by Brad Yocum, Bradley Robert Yocum, Bradley Yocum, is a registered financial advisor currently at HARTFORD FUNDS located in Wayne, Pennsylvania and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.

Bradley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Bradley has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brad Yocum | Bradley Robert Yocum | Bradley Yocum

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 Bradley Robert Yocum'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

September 8, 2023 - Present

HARTFORD FUNDS

Office #1: 690 Lee Road, Wayne, PA 19087
RIA
CRD#: 147746
Wayne, PA
Current

September 8, 2023 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

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

March 13, 2023 - September 5, 2023

S.B. VALUE PARTNERS, L.P.

RIA
CRD#: 139162
Allentown, PA
Past

April 1, 2021 - March 8, 2023

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
Allentown, PA
Past

April 1, 2021 - March 8, 2023

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
MONUMENT, CO
Past

March 25, 2019 - April 5, 2021

CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC

RIA
CRD#: 138638
BETHLEHEM, PA
Past

March 21, 2019 - March 30, 2021

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
BETHLEHEM, PA
Past

January 13, 2015 - August 27, 2018

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
CHICAGO, IL
Past

January 13, 2015 - August 27, 2018

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

February 7, 2012 - January 13, 2015

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
LISLE, IL
Past

March 4, 2011 - January 13, 2015

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
LISLE, IL

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".
HF
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.
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
Indiana
(9/12/2023)
RR
Kentucky
(9/12/2023)
RR
Ohio
(9/13/2023)
RR
Pennsylvania
(9/8/2023)
IAR
Pennsylvania
(9/8/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/2/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/22/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/3/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HF
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)

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

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 Accounts94
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.

Company Information

HARTFORD FUNDS

CRD#: 147746Wayne, PA 19087

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