Brianna C. Peruggia
Professional summary
Brianna Christine Peruggia is a registered financial professional currently at HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
Brianna is registered as a RR (Registered Representative) and started their career in finance in 2019. Brianna has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 6TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brianna Christine Peruggia's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 3, 2020 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087October 1, 2019 - October 23, 2020
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/3/2020)
Exams
Series 7TO
Date: 5/10/2021
General Securities Representative ExaminationSeries 6TO
Date: 9/13/2019
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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 | |
| DIVALERIO, ANDREW | FINOP, CONTROLLER, VICE PRESIDENT | 7634048 |
| FROST, GREGORY A. | CHAIRMAN OF THE BOARD, SR. MANAGING DIRECTOR | 2864924 |
| FURLONG, AMY NICOLE | CHIEF FINANCIAL OFFICER, BOARD MANAGER, EXECUTIVE VICE PRESIDENT | 4835814 |
| GARGER, WALTER FRANCIS | GENERAL COUNSEL AND MANAGING DIRECTOR | 4753411 |
| JEFFERSON, KERAYA SHERIE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5046523 |
| JORENS, KATHLEEN E | TREASURER, SENIOR VICE PRESIDENT | 6145607 |
| MACKAY, JONATHAN ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT | 3136624 |
| MELCHER, JOSEPH GARY | AML OFFICER, EXECUTIVE VICE PRESIDENT | 3152206 |
| SWANSON, MARTIN ALLEN | CHIEF MARKETING OFFICER, VICE PRESIDENT | 1414020 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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