Jeffrey P. Giantonio

SMITH BROTHERS FINANCIAL

Glastonbury, CT 06033

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CRD#: 2660402

Professional summary

Jeffrey P. Giantonio, AIF®, who also goes by Jeff P Giantonio, Jeffrey P. Giantonio, Jeffrey Paul Giantonio, is a registered financial advisor currently at SMITH BROTHERS FINANCIAL, LLC located in Glastonbury, Connecticut and LPL FINANCIAL LLC located in Glastonbury, Connecticut.

Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Jeffrey has worked at 10 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff P Giantonio | Jeffrey P. Giantonio | Jeffrey Paul Giantonio

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.

1-09/2022 / 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey P. Giantonio's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 11, 2022 - Present

SMITH BROTHERS FINANCIAL, LLC

Office #1: 68 National Drive, Glastonbury, CT 06033

RIA

CRD#: 322951

Glastonbury, CT

Current

October 11, 2022 - Present

LPL FINANCIAL LLC

Office #1: 68 National Drive, Glastonbury, CT 06033

RIA

CRD#: 6413

Glastonbury, CT

Past

January 17, 2018 - October 13, 2022

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

GLASTONBURY, CT

Past

December 6, 2017 - October 13, 2022

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

GLASTONBURY, CT

Past

August 4, 2015 - October 27, 2017

BEIRNE.

RIA

CRD#: 167103

Shelton, CT

Past

June 13, 2013 - July 31, 2015

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

AVON, CT

Past

June 6, 2013 - July 31, 2015

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AVON, CT

Past

June 5, 2013 - June 5, 2013

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AVON, CT

Past

July 13, 2010 - June 7, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WEST HARTFORD, CT

Past

June 8, 2010 - June 7, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WEST HARTFORD, CT

Past

November 7, 2006 - December 15, 2008

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

November 20, 2001 - November 29, 2006

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

June 15, 2001 - August 13, 2001

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

June 12, 1998 - August 7, 2000

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

October 9, 1995 - October 9, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

SMITH BROTHERS FINANCIAL, LLC

CRD#: 322951 / SEC#: 801-126687

RIA

Registered Investment Advisory firm - (9/30/2022 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.

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

IAR

Connecticut
(10/11/2022)

Connecticut
(10/13/2022)

Massachusetts
(10/11/2022)

New York
(10/13/2022)

North Carolina
(9/22/2023)

Pennsylvania
(10/12/2022)

South Carolina
(1/4/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/9/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/12/2010

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/6/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SMITH BROTHERS FINANCIAL, LLC

CRD#: 322951 / SEC#: 801-126687

RIA

Registered Investment Advisory firm - (9/30/2022 Approved)

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Contact information

Main Address

68 National Drive, Glastonbury, CT 06033

Mailing Address

Phone number

(800) 426-6946

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMITH BROTHERS DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (6/18/2025)

Regulatory assets under management

Total Number of Accounts	448
AUM (Assets Under Management)	$ 999,160,152

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.

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Advisor Monitoring

Firm Stability Insights

Jeffrey P. Giantonio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey P. Giantonio's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

BEIRNE.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GLOBAL ATLANTIC DISTRIBUTORS, LLC

HIMCO DISTRIBUTION SERVICES COMPANY

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

HIMCO DISTRIBUTION SERVICES COMPANY

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

SMITH BROTHERS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/9/2019

Series 65

Date: 7/12/2010

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/15/2010

Series 6

Date: 10/6/1995

FINRA

Current Firm

SMITH BROTHERS FINANCIAL, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMITH BROTHERS FINANCIAL, LLC

TRUST BUT VERIFY

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