CRD #45995 · FINRA BrokerCheck + SEC IAPD

Hartford Funds Distributors, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Hartford Funds Distributors, LLC ranks #1,738 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #19 of 81 on the same disclosure sort used on the state browse page. Hartford Funds Distributors, LLC carries 4 BrokerCheck disclosures across 4 branch offices - elevated load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
4
branch offices
4
disclosures
#1,738 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 45995 Hartford Funds Distributors, LLC

Hartford Funds Distributors, LLC · Grade C · 4 disc · 1.00/office · Small firm

  • CRD 45995
  • GRADE C
  • DISC 4
  • REG 3
  • ARB 1
  • CIV 0
  • BRANCH 4
  • PER-OFF 1.00
  • RANK #1,738 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Access Securities, LLC (1.00 disc/office)

Access Securities, LLC1.00ACE Diversified Capital…1.00Acorns Securities, LLC1.00Hartford Funds Dist… (this)1.00
Disclosures per office among small firm peers (lower is cleaner)

Hartford Funds Distributors, LLC ranks #1,738 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

4 offices

FINRA: Medium firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

3 actions

75% of all disclosures

Disclosures per office

1.00 per office

4 ÷ 4 offices

Hartford Funds Distributors, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 24% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). This entry sits in this band. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 3
Arbitrations 1
Civil Events 0
Total 4

Counts for Hartford Funds Distributors, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 3 Arbitration 1 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Wayne, PA
CRD Number
45995

Elevated disclosures per office

Hartford Funds Distributors, LLC in the heavier-disclosure third

Hartford Funds Distributors, LLC carries 4 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#1,738 of 20,055). Regulator-initiated events are 75% of the book (3 regulatory / 1 arbitration / 0 civil).

Hartford Funds Distributors, LLC runs 1.00 disclosures per branch office (cleaner than only 76% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Hartford Funds Distributors, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Pennsylvania cohort · 0.63× state average

Hartford Funds Distributors, LLC tracks near the Pennsylvania disclosure average

Hartford Funds Distributors, LLC reports 4 BrokerCheck disclosures, about 0.63× the Pennsylvania average of 6.4 across 81 graded firms.

In Pennsylvania, 39 firms carry Grade A and 3 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Pennsylvania state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Hartford Funds Distributors, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Hartford Funds Distributors, LLC ranks #1,738 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #19 of 81 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Hartford Funds Distributors, LLC?
A grade of C reflects Hartford Funds Distributors, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 4 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Hartford Funds Distributors, LLC have?
Hartford Funds Distributors, LLC has 4 total FINRA disclosures, including 3 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Hartford Funds Distributors, LLC?
Hartford Funds Distributors, LLC operates 4 branch offices and is classified by FINRA as a medium firm, registered in PA (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Hartford Funds Distributors, LLC's disciplinary record?
You can verify Hartford Funds Distributors, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 45995. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on BrokerCheck. For Hartford Funds Distributors, LLC, the 1.00 per-office intensity is the size-normalized signal behind Grade C.
Should I avoid Hartford Funds Distributors, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Hartford Funds Distributors, LLC carries 4 disclosures across 4 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

  • Access Securities, LLC (CT) - 1.00 disclosures/office, nearest small firm peer to Hartford Funds Distributors, LLC's 1.00
  • ACE Diversified Capital, Inc. (CA) - 1.00 disclosures/office, nearest small firm peer to Hartford Funds Distributors, LLC's 1.00
  • Acorns Securities, LLC (CA) - 1.00 disclosures/office, nearest small firm peer to Hartford Funds Distributors, LLC's 1.00
  • Firms in PA - state roster that includes Hartford Funds Distributors, LLC's registration home.
  • Red Flags in Advisor Records - How to read Hartford Funds Distributors, LLC's elevated load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 4 disclosures behind Hartford Funds Distributors, LLC's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Hartford Funds Distributors, LLC.
  • Compare firms - put Hartford Funds Distributors, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.