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Current Employers
Smith Brothers Financial, Llc

68 National Drive, Glastonbury, CT 06033 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-01-05
  • CT RA
    APPROVED
    Since 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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
Previous Registrations
  • 2017-03-06 → 2023-01-23
    Mariner Financial Group, Llc
    Glastonbury, CT
  • 2021-02-13 → 2023-01-17
    Glastonbury, CT
    West Hartford, CT
    Portland, OR
    Portland, OR
    Glastonbury, CT
  • 2011-07-05 → 2017-07-17
    Glastonbury, CT
    Boston, MA
    Glastonbury, CT
  • 2010-04-30 → 2011-06-30
    Manchester, CT
    Sagamore Hills, OH
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-04-29
S63 Uniform Securities Agent State Law Examination 2000-02-11
  • S65 Uniform Investment Adviser Law Examination
    2010-04-29
  • S63 Uniform Securities Agent State Law Examination
    2000-02-11
Designations
Other Names
  • Andrea Elizabeth Ohanley
  • Andrea Ohanley Consedine
  • Andrea Ohanley Consedine
  • Andrea O'HAnley Consedine
  • Andrea E O'HAnley
  • Andrea Elizabeth O'HAnley

View on SEC IAPD

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