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JM

Jake C. Maclean

HARTFORD FUNDS
Wayne, PA 19087
Some features on this profile are disabled
CRD#: 6185707
JM

Professional summary

Jake Charles Maclean, who also goes by Jake Maclean, is a registered financial advisor currently at HARTFORD FUNDS located in Wayne, Pennsylvania and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.

Jake is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Jake has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jake Maclean

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 1/2014 - Local Musician, non-investment related, 6 hrs a month devoted to the business, none during security trading hrs. Effective 5/2023 - May provide music lessons for a fee. Non-investment related, 10 hours a month, no activity during security trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jake Charles Maclean'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 26, 2022 - Present

HARTFORD FUNDS

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

September 26, 2022 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

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

October 3, 2017 - September 29, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
LANCASTER, PA
Past

June 2, 2017 - September 29, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
LANCASTER, PA
Past

July 17, 2013 - January 11, 2016

HARTFORD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45995
RADNOR, 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
Pennsylvania
(9/26/2022)
IAR
Pennsylvania
(9/26/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/25/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/22/2013
Uniform Securities Agent 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: 11/17/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/17/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/29/2021
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/9/2018
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/30/2018
General Securities Sales Supervisor - General Module 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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