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68 National Drive, Glastonbury, CT 06033 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-08-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Investments | Merrimack | NH | 07/2021 | 10/2022 |
| Fidelity Investments | Smithfield | RI | 10/2022 | 07/2025 |
| South Windsor Parks And Recreation | South Windsor | CT | 04/2015 | 08/2019 |
| Topstone Golf Course | South Windsor | CT | 06/2016 | 08/2017 |
| Bentley University | Waltham | MA | 09/2017 | 05/2021 |
| Bentley University | Waltham | MA | 09/2020 | 05/2021 |
| The Hartford | Hartford | CT | 06/2020 | 08/2020 |
| South Windsor Public Schools | South Windsor | CT | 09/2005 | 06/2017 |
| Smith Brothers Financial | Glastonbury | CT | 07/2025 | Present |
| Lpl Financial | Glastonbury | CT | 07/2025 | Present |
1- 07/25/2025/ Smith Brothers Financial, LLC / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s)/Start Date:07/21/2025 /40 hrs mth / 40 hrs during trading. 2) 08/20/2025 - Smith Brothers Financial, LLC - Investment Related - Registered Investment Advisor Hybrid - At reported business location(s) - Start Date:07/21/2025 - 160 Hrs/Mth - 40 Hrs During Trading.I provide investment advisory services through Smith Brothers Financial, LLC, an independent investment advisor firm. I started this business activity in 07/2025. 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 2023-01-13 |
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