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Current Employers
Smith Brothers Financial, Llc

68 National Drive, Glastonbury, CT 06033 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-10-11
  • CT RA
    APPROVED
    Since 2022-10-11

Branch Locations

68 National Drive, Glastonbury, CT 06033 • 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
Beirne Wealth Consulting Services, Llc Shelton CT 07/2015 10/2017
Woodbury Financial Services, Inc. Glastonbury CT 12/2017 10/2022
Lpl Financial, Llc Glastonbury CT 10/2022 Present
Smith Brothers Insurance, Llc Glastonbury CT 10/2022 Present
  • 07/2015 → 10/2017
    Beirne Wealth Consulting Services, Llc
    Shelton, CT
  • 12/2017 → 10/2022
    Woodbury Financial Services, Inc.
    Glastonbury, CT
  • 10/2022 → Present
    Lpl Financial, Llc
    Glastonbury, CT
  • 10/2022 → Present
    Smith Brothers Insurance, Llc
    Glastonbury, CT
Previous Registrations
  • 2017-12-06 → 2022-10-13
    Woodbury Financial Services, Inc.
    Glastonbury, CT
  • 2015-08-04 → 2017-10-27
    Milford, CT
    Shelton, CT
  • 2013-06-13 → 2015-07-31
    Kestra Investment Services, Llc
    Avon, CT
    Austin, TX
  • 2010-07-13 → 2013-06-07
    Hartford, CT
    Farmington, CT
Other Businesses

1-09/2022 / Smith Brothers Financial, LLC / DBA for LPL Business (entity for LPL business) / Investment Related / 160 HRS PER MNTH & 8 HRS During Trading-100 time Spnt Prcnt / Glastonbury, CT 06033 2-09/2022 / Smith Brothers Insurance, LLC / Non-Variable Insurance / Investment Related / 40 HRS PER MNTH & 2 HRS During Trading-20 time Spnt Prcnt / Glastonbury, CT 06033 3-09/2022 / JPG Financial 1 LLC / Business Entity For Tax/Investment Purposes Only / Non Investment Related / Riverton, CT 06065 4-10/25/2022 - Smith Brothers Financial, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 09/12/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 40 % - I provide investment advisory services through Smith Brothers Financial, LLC, an independent investment advisor firm. I started this business activity in 10/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for mor 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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-02-09
S65 Uniform Investment Adviser Law Examination 2010-07-12
  • S63 Uniform Securities Agent State Law Examination
    2019-02-09
  • S65 Uniform Investment Adviser Law Examination
    2010-07-12
Other Names
  • Jeffrey Paul Giantonio
  • Jeff P Giantonio
  • Jeffrey Giantonio
  • Jeffrey P. Giantonio

View on SEC IAPD

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