Timothy H. Prewitt

SMITH BROTHERS FINANCIAL

Glastonbury, CT 06033

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CRD#: 5092660

Professional summary

Timothy Howard Prewitt, who also goes by Tim H Prewitt, is a registered financial advisor currently at SMITH BROTHERS FINANCIAL, LLC located in Glastonbury, Connecticut and LPL FINANCIAL LLC located in Glastonbury, Connecticut.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Timothy has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tim H Prewitt

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)08/30/2022 - Smith Brothers Financial, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Howard Prewitt'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®

None

Experience

Current

November 18, 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

July 1, 2019 - August 5, 2022

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

January 4, 2017 - July 1, 2019

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

April 3, 2014 - January 4, 2017

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

December 2, 2009 - April 2, 2014

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

WALTHAM, MA

Past

May 30, 2008 - September 25, 2008

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

May 30, 2008 - April 2, 2014

PRINCIPAL SECURITIES, INC.

CRD#: 1137

WALTHAM, MA

Past

February 13, 2006 - April 22, 2008

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, 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".

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

California
(10/9/2025)

Connecticut
(10/11/2022)

IAR

Connecticut
(11/18/2022)

Florida
(10/9/2025)

Georgia
(10/9/2025)

Maryland
(10/9/2025)

Massachusetts
(10/9/2025)

New Hampshire
(10/9/2025)

New Jersey
(10/9/2025)

New York
(10/9/2025)

North Carolina
(10/10/2025)

Pennsylvania
(10/9/2025)

Rhode Island
(10/9/2025)

South Carolina
(10/9/2025)

Texas
(10/9/2025)

Vermont
(10/9/2025)

Virginia
(10/9/2025)

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

IAR

Series 66

Date: 11/10/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/1/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/6/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/10/2006

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

Timothy H. Prewitt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Howard Prewitt's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

TRANSAMERICA CAPITAL, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL SECURITIES, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

Primary Firm SEC Registration

SMITH BROTHERS FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2009

Series 63

Date: 5/1/2006

SIE

Date: 10/1/2018

Series 7

Date: 8/6/2009

Series 6

Date: 2/10/2006

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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