Darren Anthony Brich

Lake Geneva, WI

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Current Employers

Hartford Funds

690 Lee Road, Wayne, PA 19087 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2020-10-21

WI RA
APPROVED

Since 2020-10-21

Branch Locations

690 Lee Road, Wayne, PA 19087 • United States

Lake Geneva, WI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Nuveen Investments, Llc	Chicago	IL	01/2011	08/2020
Hartford Funds Distributors, Llc	Wayne	PA	10/2020	Present
Hartford Funds Management Company, Llc	Wayne	PA	10/2020	Present

01/2011 → 08/2020

Nuveen Investments, Llc

Chicago, IL
10/2020 → Present

Hartford Funds Distributors, Llc

Wayne, PA
10/2020 → Present

Hartford Funds Management Company, Llc

Wayne, PA

Previous Registrations

2011-04-09 → 2020-08-07

Nuveen Asset Management, Llc

Chicago, IL
2003-07-22 → 2005-04-07

Dws Investment Management Americas, Inc.

Chicago, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-03-30
S63	Uniform Securities Agent State Law Examination	1998-06-05

S65 Uniform Investment Adviser Law Examination

2011-03-30
S63 Uniform Securities Agent State Law Examination

1998-06-05

View on SEC IAPD

Other Firms

ADDIS & HILL, INCORPORATED

CHARLES SCHWAB & CO., INC.

PNC WEALTH MANAGEMENT LLC

HORNOR, TOWNSEND & KENT, LLC

TODOROW CAPITAL PARTNERS LLC

HARVEST FUND ADVISORS LLC

ACT CAPITAL MANAGEMENT, LLC

FOCUS PARTNERS WEALTH, LLC

Other Investors

Kelly F Bashore

KENT RUSSELL ADDIS

Flynn Michael Ryan

PETER MASTROMARCO

KENNETH WAYNE LISKEY

Colleen Maura Lotto

Other Offices

ADDIS & HILL, INCORPORATED · WAYNE, PA

CHARLES SCHWAB & CO., INC. · Wayne, PA

PNC WEALTH MANAGEMENT LLC · Wayne, PA

HORNOR, TOWNSEND & KENT, LLC · WAYNE, PA

TODOROW CAPITAL PARTNERS LLC · WAYNE, PA

HARVEST FUND ADVISORS LLC · WAYNE, PA

ACT CAPITAL MANAGEMENT, LLC · WAYNE, PA

FOCUS PARTNERS WEALTH, LLC · Wayne, PA

More in Wayne, PA

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