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68 National Drive, Glastonbury, CT 06033 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2022-10-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-02-09 |
| S65 | Uniform Investment Adviser Law Examination | 2010-07-12 |
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