Brian Edward Kraus

CFA

Hartford Funds

23 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment Management

Hartford Funds

Compensation

Fee-Only (AUM)

Firm Size

48 advisors

Number of Clients

76 clients

Average Client Portfolio

$1.8B average

Assets Under Management

$137.8B

Location

690 Lee Road, Wayne, PA, 19087

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Employment History

Current Registrations

Hartford Funds Distributors, LLCBroker

March 2015 - Present · 10 yrs 11 mos

Hartford Funds

March 2015 - Present · 10 yrs 11 mos

Hartford Funds Distributors, LLC

March 2015 - Present · 10 yrs 11 mos

Previous Registrations

Lockwood Advisors INC

January 2009 - March 2015 · 6 yrs 2 mos

Lockwood Capital Management, INC

July 2007 - May 2010 · 2 yrs 10 mos

Lockwood Financial Services, INC

July 2006 - July 2006 · 0 mos

Lockwood Advisors INC

April 2006 - July 2007 · 1 yr 3 mos

Pershing LLCBroker

April 2006 - March 2015 · 8 yrs 11 mos

Rydex Distributors, INC.Broker

January 2006 - April 2006 · 3 mos

Aquarius Fund Distributors, LLCBroker

July 2004 - December 2005 · 1 yr 5 mos

Citigroup Global Markets INC.Broker

August 2002 - May 2004 · 1 yr 9 mos

Sanford C. Bernstein & CO., LLCBroker

February 2002 - July 2002 · 5 mos

Waddell & Reed, INC.Broker

April 2001 - October 2001 · 6 mos

State Registrations1 state

AdvisorBrokerBoth

Exams

No exam information available for this advisor.