Brian Kraus is a CFA-designated registered investment advisor, based in Wayne, PA, with 24 years of industry experience.
Location
690 Lee Road, Wayne, PA, 19087
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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.
Learn about disclosures →Employment History
Current Registrations
Hartford Funds Distributors, LLC
March 2015 - Present · 11 yrs 1 mo
Hartford Funds
March 2015 - Present · 11 yrs 1 mo
Hartford Funds Distributors, LLCBroker
March 2015 - Present · 11 yrs 1 mo
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
PA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.