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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)25 years in industry

BRIAN EDWARD KRAUS

Advisor at HARTFORD FUNDS

WAYNE, PA

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Search this name across graphsid dfx:ria:da201579-02a6-a6e3-77bd-2007ac5e4f81

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 21, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HARTFORD FUNDS
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S66
First exam: Jun 1, 2001
First registration: Apr 21, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 4369838

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HARTFORD FUNDS	Asset manager	Mar 16, 2015	n/a	yes	WAYNE, PA	Current employment
BNY MELLON ADVISORS, INC.	Bank affiliated wealth	Jan 15, 2009	Mar 17, 2015	no	NEW YORK, NY	Previous registration
LOCKWOOD FINANCIAL SERVICES, INC.	n/a	Jul 11, 2007	May 17, 2010	no	MALVERN, PA	Previous registration
LOCKWOOD FINANCIAL SERVICES, INC.	n/a	Jul 19, 2006	Jul 20, 2006	no	MALVERN, PA	Previous registration
BNY MELLON ADVISORS, INC.	Bank affiliated wealth	Apr 21, 2006	Jul 10, 2007	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BNY MELLON ADVISORS, INC.	HARTFORD FUNDS	Mar 17, 2015	Mar 16, 2015	-1	Firm change	Other
LOCKWOOD FINANCIAL SERVICES, INC.	BNY MELLON ADVISORS, INC.	May 17, 2010	Jan 15, 2009	-487	Firm change after gap	Other
BNY MELLON ADVISORS, INC.	LOCKWOOD FINANCIAL SERVICES, INC.	Jul 10, 2007	Jul 19, 2006	-356	Firm change after gap	Other

Relationships

Registered with (3)

→ HARTFORD FUNDSRegistered adviserregistration: current employment
Mar 16, 2015 to presentfactForm ADV
→ BNY MELLON ADVISORS, INC.Registered adviserregistration: previous registration
Jan 15, 2009 to Mar 17, 2015factForm ADV
→ LOCKWOOD FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 11, 2007 to May 17, 2010factForm ADV

Dated events

No dated event names this entity yet.