JS
Joseph B. Smith
SMITH BROTHERS FINANCIAL
Glastonbury, CT 06033
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CRD#: 4692642
JS
Professional summary
Joseph Brian Smith, who also goes by Joseph B Smith, is a registered financial advisor currently at SMITH BROTHERS FINANCIAL, LLC located in Glastonbury, Connecticut.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Joseph has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph B Smith
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)08/24/2022 - Smith Brothers Financial, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)08/24/2022 - Smith Brothers Insurance, LLC - Insurance Agency - Inv Rel - At Reported Business Location(s) 3)08/24/2022 - Smith Brothers Insurance, LLC - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) 4)08/24/2022 - JBS/SBI, Inc. - Owner - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel 5)12/8/2022 - Smith Brothers Financial, LLC - DBA: Smith Brothers Financial Services, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 03/01/2011 - 20 Hours Per Month/1 Hours During Securities Trading - I provide investment advisory services through Smith Brothers Financial, LLC., an independent investment advisor firm. I started this business activity in 12/2022. I expect to spend approximately 20 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.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Brian Smith'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
October 11, 2022 - Present
SMITH BROTHERS FINANCIAL, LLC
Office #1: 68 National Drive, Glastonbury, CT 06033RIA
CRD#: 322951
Glastonbury, CT
Past
October 11, 2022 - October 11, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
GLASTONBURY, CT
Past
October 11, 2022 - October 2, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
GLASTONBURY, CT
Past
November 1, 2010 - October 19, 2022
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
GLASTONBURY, CT
Past
January 17, 2007 - October 19, 2022
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
GLASTONBURY, CT
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".
SB
SMITH BROTHERS FINANCIAL, LLC
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.Highlighted states indicate IAR registrations
IAR
Connecticut(10/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SB
SMITH BROTHERS FINANCIAL, LLC
SMITH BROTHERS FINANCIAL, LLC
CRD#: 322951 / SEC#: 801-126687
RIA
Registered Investment Advisory firm - (9/30/2022 Approved)Upgrade to AdvisorCheck Premium
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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
8
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 448 |
| AUM (Assets Under Management) | $ 999,160,152 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
