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AW

Ashley L. Winn

SMITH BROTHERS FINANCIAL
WEST HARTFORD, CT 06107
Some features on this profile are disabled
CRD#: 6692167
AW

Professional summary

Ashley L. Winn, who also goes by Ashley L. Hykel, is a registered financial advisor currently at SMITH BROTHERS FINANCIAL, LLC located in West Hartford, Connecticut and LPL FINANCIAL LLC located in Glastonbury, Connecticut.

Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Ashley has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ashley L. Hykel

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) 04/21/2023 - Smith Brothers Financial LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s). 2) 05/03/2023 - Smith Brothers Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Advisor - Start Date 05/01/2023 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Smith Brothers Financial, an independent investment advisor firm. I started this business activity in 04/2023. I expect to spend approximately 1 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashley L. Winn'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

May 2, 2023 - Present

SMITH BROTHERS FINANCIAL, LLC

Office #1: 7 South Main Street, West Hartford, CT 06107
RIA
CRD#: 322951
WEST HARTFORD, CT
Current

April 25, 2023 - Present

LPL FINANCIAL LLC

Office #1: 68 National Drive, Glastonbury, CT 06033
RIA
BD
CRD#: 6413
Glastonbury, CT
Past

January 12, 2023 - April 18, 2023

CETERA ADVISORS LLC

RIA
CRD#: 10299
SOUTHINGTON, CT
Past

June 14, 2022 - April 18, 2023

CETERA ADVISORS LLC

BD
CRD#: 10299
SOUTHINGTON, CT
Past

February 8, 2021 - May 19, 2022

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
WEST HARTFORD, CT
Past

April 24, 2018 - February 23, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
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.
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
Connecticut
(4/25/2023)
IAR
Connecticut
(5/2/2023)
RR
Florida
(12/5/2023)
RR
New Hampshire
(12/5/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/30/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/14/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/31/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/24/2018
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts448
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.

Company Information

SMITH BROTHERS FINANCIAL, LLC

CRD#: 322951West Hartford, CT 06107

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