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Current Employers
Westminster Financial Advisory Corp

50 Chestnut Street Suite A-400, Beavercreek, OH 45440 • United States

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2026-08-11
IL RA APPROVED 2026-07-14
SC RA APPROVED 2025-01-08
WI RA APPROVED 2024-10-21
CO RA APPROVED 2023-12-07
VA RA APPROVED 2023-10-05
NY RA APPROVED 2021-08-24
NC RA APPROVED 2021-07-30
TX RA APPROVED_RES 2020-06-24
MA RA APPROVED 2019-06-04
FL RA APPROVED 2019-04-26
MD RA APPROVED 2019-02-26
CA RA APPROVED 2019-02-25
NH RA APPROVED 2019-02-25
VT RA APPROVED 2019-02-25
CT RA APPROVED 2019-02-22
  • KS RA
    APPROVED
    Since 2026-08-11
  • IL RA
    APPROVED
    Since 2026-07-14
  • SC RA
    APPROVED
    Since 2025-01-08
  • WI RA
    APPROVED
    Since 2024-10-21
  • CO RA
    APPROVED
    Since 2023-12-07
  • VA RA
    APPROVED
    Since 2023-10-05
  • NY RA
    APPROVED
    Since 2021-08-24
  • NC RA
    APPROVED
    Since 2021-07-30
  • TX RA
    APPROVED_RES
    Since 2020-06-24
  • MA RA
    APPROVED
    Since 2019-06-04
  • FL RA
    APPROVED
    Since 2019-04-26
  • MD RA
    APPROVED
    Since 2019-02-26
  • CA RA
    APPROVED
    Since 2019-02-25
  • NH RA
    APPROVED
    Since 2019-02-25
  • VT RA
    APPROVED
    Since 2019-02-25
  • CT RA
    APPROVED
    Since 2019-02-22

Branch Locations

433 South Main St Suite 305, West Hartford, CT 06110 • 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
Lincoln Financial Advisors Corp Windsor CT 10/2012 02/2019
Westminster Financial Securities, Inc. Dayton OH 02/2019 Present
  • 10/2012 → 02/2019
    Lincoln Financial Advisors Corp
    Windsor, CT
  • 02/2019 → Present
    Westminster Financial Securities, Inc.
    Dayton, OH
Previous Registrations
  • 2012-10-18 → 2019-03-06
    Osaic Fa, Inc.
    Hartford, CT
  • 2003-02-14 → 2012-10-19
    National Planning Corporation
    Glastonbury, CT
    Glastonbury, CT
  • 1999-11-02 → 2003-02-11
    Glastonbury, CT
Other Businesses

1)BRENDA LARKIN, 433 S. Main St. West Hartford, CT. INSURANCE, INVESTMENT RELATED, AGENT, OFFERS ACCIDENT/HEALTH INSURANCE, DISABILITY INSURANCE, FIXED/INDEXED ANNUITIES, LIFE SETTLEMENTS AND TRADITIONAL LIFE INSURANCE. STARTED ON 02/2019 WORKING 40 HPM ALL DURING TRADING HOURS. 2)Goldberg Larkin LLC, 433 S Main St. West Hartford, CT. CDFA, NOT INVESTMENT RELATED, CONSULTANT, WORK WITH DIVORCING INDIVIDUALS IN THE FINANCIAL ASPECTS OF DIVORCE. STARTED ON 02/2020 WORKING 10 HPM ALL DURING TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-02
S63 Uniform Securities Agent State Law Examination 1998-05-30
  • S65 Uniform Investment Adviser Law Examination
    1999-09-02
  • S63 Uniform Securities Agent State Law Examination
    1998-05-30
Other Names
  • Brenda Lynne Caruso

View on SEC IAPD

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