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JF

Jon M. Ferraiolo

HARTFORD FUNDS
Cumming, GA
Some features on this profile are disabled
CRD#: 5881490
JF

Professional summary

Jon M Ferraiolo, CIMA®, who also goes by Jon M Ferraiolo, Jon Michael Ferraiolo, John Ferraiolo, is a registered financial advisor currently at HARTFORD FUNDS located in Cumming, Georgia and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.

Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Jon has worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jon M Ferraiolo | Jon Michael Ferraiolo | John Ferraiolo

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.
Effective 9/2023 - Real estate agent - Primarily prospecting commercial properties to buy and sell. None investment related, 1-4 hour a week, none during security trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon M Ferraiolo'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

June 10, 2025 - Present

HARTFORD FUNDS

RIA
CRD#: 147746
Cumming, GA
Current

June 9, 2025 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

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

April 8, 2025 - July 1, 2025

ARBOR COURT CAPITAL, LLC

BD
CRD#: 143839
BROADVIEW HEIGHTS, OH
Past

April 5, 2024 - May 23, 2025

POTOMAC

RIA
CRD#: 105413
Cumming, GA
Past

July 5, 2023 - December 4, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
DUNWOODY, GA
Past

December 16, 2022 - December 1, 2023

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
DUNWOODY, GA
Past

March 24, 2022 - November 17, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
ATLANTA, GA
Past

March 21, 2022 - November 17, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
ATLANTA, GA
Past

August 7, 2019 - March 16, 2022

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
ATLANTA, GA
Past

August 6, 2019 - March 16, 2022

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
Atlanta, GA
Past

July 26, 2016 - August 1, 2019

FRED ALGER & COMPANY, LLC

BD
CRD#: 5300
NEW YORK, NY
Past

June 7, 2013 - June 27, 2016

PGIM INVESTMENTS LLC

RIA
CRD#: 105670
NEWARK, NJ
Past

June 5, 2013 - June 27, 2016

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

September 12, 2012 - March 1, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
MORRISTOWN, NJ
Past

July 3, 2012 - March 1, 2013

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MORRISTOWN, NJ

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
Georgia
(6/10/2025)
IAR
Georgia
(6/10/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/29/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/2/2012
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#: 147746Cumming, GA

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