Jeffrey L. Annello

SAGEBROADVIEW WEALTH MANAGEMENT

Farmington, CT 06032-2837

Some features on this profile are disabled

CRD#: 5839129

Professional summary

Jeffrey Lawrence Annello is a registered financial advisor currently at SAGEBROADVIEW WEALTH MANAGEMENT, LLC located in Farmington, Connecticut.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Jeffrey has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Lawrence Annello'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

January 30, 2026 - Present

SAGEBROADVIEW WEALTH MANAGEMENT, LLC

Office #1: 10 Waterside Drive Suite 305, Farmington, CT 06032-2837

RIA

CRD#: 126472

Farmington, CT

Past

June 27, 2018 - November 30, 2022

FOUNDERS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 118853

EAST HARTFORD, CT

Past

June 29, 2015 - November 9, 2015

KEEFE, BRUYETTE & WOODS, INC.

CRD#: 481

HARTFORD, CT

Past

September 10, 2010 - May 7, 2014

NOISE FREE INVESTMENTS, LLC

RIA

CRD#: 154964

SPRINGFIELD, 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".

SAGEBROADVIEW WEALTH MANAGEMENT, LLC

BROADVIEW FINANCIAL PLANNING, LLC | SAGEBROADVIEW WEALTH MANAGEMENT, LLC | SAGEBROADVIEW FINANCIAL PLANNING, LLC | DHAS FINANCIAL PLANNING, LLC

CRD#: 126472 / SEC#: 801-100506

RIA

Registered Investment Advisory firm - (7/16/2015 Approved)

Connecticut

Registered Investment Advisory firm - (8/12/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - (7/17/2015 Terminated)

New Hampshire

Registered Investment Advisory firm - (11/2/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (7/28/2015 Terminated)

New York

Registered Investment Advisory firm - (7/17/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(1/30/2026)

IAR

Massachusetts
(4/2/2026)

IAR

New Jersey
(4/2/2026)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/2026

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/9/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 9/2/2015

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 8/24/2015

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 6/29/2015

General Securities Representative Examination

Current Firm

SAGEBROADVIEW WEALTH MANAGEMENT, LLC

BROADVIEW FINANCIAL PLANNING, LLC | SAGEBROADVIEW WEALTH MANAGEMENT, LLC | SAGEBROADVIEW FINANCIAL PLANNING, LLC | DHAS FINANCIAL PLANNING, LLC

CRD#: 126472 / SEC#: 801-100506

RIA

Registered Investment Advisory firm - (7/16/2015 Approved)

Connecticut

Registered Investment Advisory firm - (8/12/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - (7/17/2015 Terminated)

New Hampshire

Registered Investment Advisory firm - (11/2/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (7/28/2015 Terminated)

New York

Registered Investment Advisory firm - (7/17/2015 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10 Waterside Drive Suite 305, Farmington, CT 06032-2837

Mailing Address

Phone number

(860) 606-3580

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGEBROADVIEW WEALTH MANAGEMENT, LLC BROCHURE (10/15/2025)

Regulatory assets under management

Total Number of Accounts	595
AUM (Assets Under Management)	$ 350,339,835

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/16/2025	Cover Page	Report
10/17/2024	Cover Page	Report
09/18/2023	Cover Page	Report

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.

Similar Advisors

Richard Rake

FINANCIAL RESOURCES GROUP, LLC

IAR

GLASTONBURY, CT

Samuel Kaplowitz

BREACHWAY INVESTMENTS, LLC

IAR

West Hartford, CT

Michael Chadwick

FISCAL WISDOM WEALTH MANAGEMENT LLC

IAR

Canton, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jeffrey L. Annello

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Lawrence Annello's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUNDERS CAPITAL MANAGEMENT, LLC

KEEFE, BRUYETTE & WOODS, INC.

NOISE FREE INVESTMENTS, LLC

Primary Firm SEC Registration

SAGEBROADVIEW WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2026

Series 63

Date: 7/15/2015

SIE

Date: 11/9/2015

Series 87

Date: 9/2/2015

Series 86

Date: 8/24/2015

Series 7

Date: 6/29/2015

Current Firm

SAGEBROADVIEW WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SAGEBROADVIEW WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors