BL
Brenda L. Larkin
WESTMINSTER FINANCIAL ADVISORY CORP
West Hartford, CT 06110
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CRD#: 1681471
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Professional summary
Brenda Lynne Larkin, who also goes by Brenda Lynne Caruso, is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in West Hartford, Connecticut and WESTMINSTER FINANCIAL SECURITIES, INC. located in West Hartford, Connecticut.
Brenda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Brenda has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brenda Lynne Caruso
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Brenda Lynne Larkin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 22, 2019 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
Office #1: 433 South Main St Suite 105, West Hartford, CT 06110RIA
CRD#: 110283
West Hartford, CT
Current
February 22, 2019 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 433 South Main Street Suite 305, West Hartford, CT 06110BD
CRD#: 20677
West Hartford, CT
Past
October 18, 2012 - March 6, 2019
OSAIC FA, INC.
RIA
CRD#: 3978
WINDSOR, CT
Past
October 17, 2012 - March 6, 2019
OSAIC FA, INC.
BD
CRD#: 3978
WINDSOR, CT
Past
February 14, 2003 - October 19, 2012
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
GLASTONBURY, CT
Past
February 7, 2003 - October 19, 2012
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
GLASTONBURY, CT
Past
November 2, 1999 - February 11, 2003
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
GLASTONBURY, CT
Past
December 21, 1998 - February 11, 2003
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
April 30, 1998 - December 11, 1998
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
Registered Investment Advisory firm - (6/15/1987 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(2/22/2019)
IAR
California(2/25/2019)
RR
Colorado(12/7/2023)
IAR
Colorado(12/7/2023)
RR
Connecticut(2/22/2019)
IAR
Connecticut(2/22/2019)
RR
Florida(2/22/2019)
IAR
Florida(4/26/2019)
RR
Maryland(2/22/2019)
IAR
Maryland(2/26/2019)
RR
Massachusetts(2/22/2019)
IAR
Massachusetts(6/4/2019)
RR
New Hampshire(2/22/2019)
IAR
New Hampshire(2/25/2019)
RR
New York(2/22/2019)
IAR
New York(8/24/2021)
RR
North Carolina(7/20/2021)
IAR
North Carolina(7/30/2021)
RR
Rhode Island(9/29/2023)
RR
South Carolina(1/2/2025)
IAR
South Carolina(1/8/2025)
RR
Texas(6/24/2020)
IAR
Texas(6/24/2020)
RR
Vermont(2/22/2019)
IAR
Vermont(2/25/2019)
RR
Virginia(4/4/2022)
IAR
Virginia(10/5/2023)
RR
Wisconsin(10/18/2024)
IAR
Wisconsin(10/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
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Contact information
Main Address
50 Chestnut Street Suite A-400, Beavercreek, OH 45440
Mailing Address
Phone number
(937) 898-5010
Established
Firm type
Fiscal year end
# of Employees
46
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
