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Detailed Report
DARREN ANTHONY BRICH
CRD#: 3022752
IA
Investment Adviser
B
Broker
HARTFORD FUNDSCRD#: 147746 Lake Geneva, WI
HARTFORD FUNDS DISTRIBUTORS, LLCCRD#: 45995 Lake Geneva, WI
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2011 - 2020 (9 years)2 FIRMS2020 - Present (4 years)BQUASAR DISTRIBUTORS, LLC (CRD# 103848)2005 - 2011 (5 years)BSCUDDER DISTRIBUTORS, INC. (CRD# 37306)1998 - 2005 (6 years)IADEUTSCHE INVESTMENT MANAGEMENT... (CRD# 104518)2003 - 2005 (1 year)
License(s)

State Registrations

B
Illinois 10/21/2020
B
Wisconsin 10/21/2020
B
Minnesota 2/22/2022
IA
Wisconsin 10/21/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
HARTFORD FUNDS DISTRIBUTORS, LLC (CRD#:45995)
Lake Geneva, WI
Registered with this firm since 10/21/2020
IA
HARTFORD FUNDS (CRD#:147746)
Lake Geneva, WI
Registered with this firm since 10/21/2020
Previous Registration(s)
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IA
 04/09/2011 - 08/07/2020 NUVEEN ASSET MANAGEMENT, LLC (CRD#:155584) CHICAGO, IL
B
 01/03/2011 - 08/07/2020 NUVEEN SECURITIES, LLC (CRD#:469) CHICAGO, IL
B
 06/01/2005 - 01/03/2011 QUASAR DISTRIBUTORS, LLC (CRD#:103848) PORTLAND, ME
IA
 07/22/2003 - 04/07/2005 DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC. (CRD#:104518) CHICAGO, IL
B
 05/28/1998 - 04/07/2005 SCUDDER DISTRIBUTORS, INC. (CRD#:37306) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.