Tom Phillips Email & Phone Number
Chief Legal Officer @ Hartford Funds
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Tom Phillips Location
- Wayne, PA, US
Tom Phillips Work
- Chief Legal Officer @ (August 2026 - Present)
- Senior Vice President and Deputy General Counsel @ (February 2017 - Present)
- Chief Legal Officer @ (November 2014 - December 2016)
- Deputy General Counsel @ (July 2006 - November 2014)
- Associate Attorney @ (July 2005 - July 2006)
- Associate Attorney @ (July 2003 - July 2005)
Tom Phillips Education
- Temple University - James E. Beasley School of Law
Juris Doctorate (Law)
1997-2000 - Shippensburg University of Pennsylvania
Bachelor of Arts (B.A.)
1986-1988
Tom Phillips Skills
- 1940 Act
- Advertising Compliance
- Asset Management
- Board of Directors
- Commercial Contracts
- Company Secretarial Work
- Compliance Management
- Compliance Oversight
- Contract Law
- Corporate Governance
- Corporate Law
- Corporate Litigation
- Due Diligence
- ETFs
- Federal Regulations
- General Counsel
- Hedge Funds
- Industry Training
- Investment Adviser Regulation
- Investment Advisers Act
- Investment Advisory
- Investment Companies
- Investment Company Act
- Investment Company Regulation
- Investment Funds
- Investment Management
- KYC Verification
- Law
- Legal Advice
- Legal Compliance
- Legal Issues
- Legal Matters
- Legal Writing
- Management
- Marketing & Distribution
- Mutual Funds
- Operational Efficiency
- Presentations
- Product Development
- Product Management
- Regulatory Compliance
- Regulatory Compliance Programs
- Regulatory Examinations
- Regulatory Filings
- Risk Management
- Securities
- Securities Regulation
- Servant Leadership
- Tender Offers
- U.S. Securities and Exchange Commission (SEC)
Tom Phillips Summary
- Tom Phillips, based in Wayne, PA, US, is currently a Chief Legal Officer at Hartford Funds. Tom Phillips brings experience from previous roles at Hartford Funds, Saturna Capital, Lord, Abbett & Co. LLC and Morgan, Lewis & Bockius LLP. Tom Phillips holds a 1997 - 2000 Juris Doctorate in Law @ Temple University - James E. Beasley School of Law. With a robust skill set that includes 1940 Act, Advertising Compliance, Asset Management, Board of Directors, Commercial Contracts and more. Tom Phillips has 3 emails and 3 mobile phone numbers on RocketReach.
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Top Hartford Funds Employees
Sean Dougherty
COO, Distribution
West Chester, PA, US
Jim Davey
Former President
Wayne, PA, US
Greg Frost
President at Hartford Funds
Wayne, PA, US
April Whitehead
VP, Head of Organizational Development
Wayne, PA, US
Brian Briggs
Managing Director
West Chester, PA, US
Amanda Stahl
Managing Director, Applied Insights
Saint Petersburg, FL, US
Amy Furlong
Chief Financial Officer
Phoenixville, PA, US
John Ashley
Vice President and Senior Counsel
Wayne, PA, US
Ernie Overholt
Chief Operations Officer
Wayne, PA, US
Christopher Netter
VP, Manager Sales Training
Wayne, PA, US
Guy Malcolm
Advisor Consultant, Regional Vice President
San Juan Capistrano, CA, US
Jon Ferraiolo
Regional Vice President - Advisor Consultant
Atlanta, GA, US
Tom Phillips
Chief Legal Officer
Wayne, PA, US
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