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68 National Drive, Glastonbury, CT 06033 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2023-01-05 |
Branch Locations
68 National Drive, Glastonbury, CT 06033 • United States
7 South Main Street Suite 206, West Hartford, CT 06107 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Glastonbury | CT | 07/2011 | 02/2021 |
| Mariner Financial Group, Llc | Glastonbury | CT | 02/2017 | 01/2023 |
| M Holdings Securities, Inc | Portland | OR | 02/2021 | 01/2023 |
| Lpl Financial Llc | Glastonbury | CT | 01/2023 | Present |
| Smith Brothers Financial, Llc | Glastonbury | CT | 01/2023 | Present |
1) 01/03/2023 Smith Brothers Financial, LLC - DBA for LPL Business (entity for LPL business) - inv rel - at reported location(s) 2) 01/03/2023 Real Estate Rentals - 25 Fox Mead, Suffield, CT 06078 inv rel 12/01/2021 3) 01/03/2023 Smith Brothers Insurance, LLC - inv rel - Non-Variable Insurance- 01/04/2023 4) 01/11/2023 - Smith Brothers Financial, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 01/04/2023 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Smith Brothers Financial, LLC, an independent investment advisor firm. I started this business activity in 01/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5) 08/25/2023 - Rise Above Financial Services, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 11/10/2022 - 1 Hour Per Month/ 0 Hours During Trading 6) 08/03/2026 - Residential Real Estate Rental, Not Investment Related, Address: 97 Lake Winds Road, Diamond Point, NY, Position: Property Ownership in a trust with husband. Periodically rent the home on a long-term basis (30 days). Husband handles all activities in relation to the property. 0 hours required.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-04-29 |
| S63 | Uniform Securities Agent State Law Examination | 2000-02-11 |
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