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Detailed Report
THOMAS J GRASSO JR.
THOMAS J GRASSO
CRD#: 3084512
IA
Investment Adviser
B
Broker
HARTFORD FUNDSCRD#: 147746 Royersford, PA
HARTFORD FUNDS DISTRIBUTORS, LLCCRD#: 45995 Royersford, PA
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2018 - Present (6 years)BLINCOLN INVESTMENT (CRD# 519)2001 - 2017 (16 years)IACAPITAL ANALYSTS (CRD# 162200)2014 - 2017 (3 years)IALINCOLN INVESTMENT (CRD# 519)2011 - 2017 (6 years)
License(s)

State Registrations

B
Alabama 9/28/2018
B
North Carolina 10/2/2018
B
Delaware 4/4/2018
B
Ohio 4/3/2018
B
District of Columbia 10/3/2018
B
Pennsylvania 4/3/2018
B
Florida 10/1/2018
IA
Pennsylvania 4/6/2018
B
Georgia 10/1/2018
B
Puerto Rico 11/7/2019
B
Kentucky 5/2/2018
B
South Carolina 10/3/2018
B
Maryland 10/26/2018
B
Tennessee 10/1/2018
B
Mississippi 10/4/2018
B
Virginia 10/25/2018
B
New Jersey 5/4/2018
B
West Virginia 4/12/2018
B
New York 4/3/2018

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)
IA
HARTFORD FUNDS (CRD#:147746)
Royersford, PA
Registered with this firm since 4/6/2018
B
HARTFORD FUNDS DISTRIBUTORS, LLC (CRD#:45995)
Royersford, PA
Registered with this firm since 4/2/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/09/2014 - 12/13/2017 CAPITAL ANALYSTS (CRD#:162200) PHILADELPHIA, PA
IA
 10/18/2011 - 12/13/2017 LINCOLN INVESTMENT (CRD#:519) JENKINTOWN, PA
B
 10/15/2001 - 12/13/2017 LINCOLN INVESTMENT (CRD#:519) JENKINTOWN, PA
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.