AS
Adam Schreiber
HARTFORD FUNDS
Wayne, PA 19087
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CRD#: 6128468
AS
Professional summary
Adam Schreiber is a registered financial advisor currently at HARTFORD FUNDS located in Wayne, Pennsylvania and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Adam has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Schreiber'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®
NoneExperience
Current
August 7, 2015 - Present
HARTFORD FUNDS
Office #1: 690 Lee Road, Wayne, PA 19087RIA
CRD#: 147746
Wayne, PA
Current
August 3, 2015 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087BD
CRD#: 45995
Wayne, PA
Past
June 19, 2014 - July 27, 2015
PERSHING LLC
BD
CRD#: 7560
KING OF PRUSSIA, PA
Past
October 22, 2013 - January 16, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BALA CYNWYD, PA
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
Alabama(1/3/2022)
RR
Alaska(1/3/2022)
RR
Arizona(1/3/2022)
RR
Arkansas(1/3/2022)
RR
California(1/3/2022)
RR
Colorado(1/3/2022)
RR
Connecticut(1/3/2022)
RR
Delaware(1/3/2022)
RR
District of Columbia(1/3/2022)
RR
Florida(1/3/2022)
RR
Georgia(1/3/2022)
RR
Hawaii(1/3/2022)
RR
Idaho(1/3/2022)
RR
Illinois(1/3/2022)
RR
Indiana(1/3/2022)
RR
Iowa(1/3/2022)
RR
Kansas(1/3/2022)
RR
Kentucky(1/3/2022)
RR
Louisiana(1/3/2022)
RR
Maine(1/3/2022)
RR
Maryland(1/3/2022)
RR
Massachusetts(1/3/2022)
RR
Michigan(1/3/2022)
RR
Minnesota(1/3/2022)
RR
Mississippi(1/3/2022)
RR
Missouri(1/3/2022)
RR
Montana(1/3/2022)
RR
Nebraska(1/3/2022)
RR
Nevada(1/3/2022)
RR
New Hampshire(1/3/2022)
RR
New Jersey(1/3/2022)
RR
New Mexico(1/3/2022)
RR
New York(1/3/2022)
RR
North Carolina(1/3/2022)
RR
North Dakota(1/3/2022)
RR
Ohio(1/4/2022)
RR
Oklahoma(1/3/2022)
RR
Oregon(1/3/2022)
RR
Pennsylvania(8/7/2015)
IAR
Pennsylvania(8/7/2015)
RR
Puerto Rico(1/3/2022)
RR
Rhode Island(1/3/2022)
RR
South Carolina(1/3/2022)
RR
South Dakota(1/3/2022)
RR
Tennessee(1/3/2022)
RR
Texas(1/3/2022)
RR
Utah(1/3/2022)
RR
Vermont(1/3/2022)
RR
Virginia(1/3/2022)
RR
Washington(1/3/2022)
RR
West Virginia(1/3/2022)
RR
Wisconsin(1/3/2022)
RR
Wyoming(1/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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
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.
