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Ashley Claire Smelser

Sullivan Financial, LLC

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About Ashley Claire Smelser

Ashley Smelser is a registered Investment Advisor Representative. Ashley is currently associated with Sullivan Financial, LLC in Essex, CT. Prior to joining Sullivan Financial, LLC, Ashley was associated with LPL FINANCIAL LLC in Old Saybrook, CT. Ashley is a series 63, 65 and 66 licensed representative.

Firm Information

Ashley Smelser is currently registered with Sullivan Financial, LLC. Sullivan Financial, LLC is an investment advisor located in Essex, CT. The firm provides financial planning, portfolio management for individuals, and selection of other advisors. They manage approximately $103,801,335 in assets for 275 clients, primarily high-net-worth individuals, charitable organizations, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth.
Sullivan Financial, LLC

15A MAIN STREET

ESSEX, CT 06426

$103.80M

Assets Under Management

Not reported

Total Clients

2

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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financial consulting

Financial consulting

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Ashley Smelser’s Registration & Firm History

CT

02/13/2023 - Present

Sullivan Financial, LLC (ESSEX CT)

CT

04/11/2022 - 02/13/2023

LPL FINANCIAL LLC (OLD SAYBROOK CT)

NY

08/26/1999 - 04/23/2001

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 05/26/2022

Series 66 - Uniform Combined State Law Examination

IA

Issued 12/17/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/02/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/11/2022

Series 7TO - General Securities Representative Examination

BC

Issued 11/23/2021

SIE - Securities Industry Essentials Examination

BC

Issued 08/25/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are 2 public disclosures for Ashley Claire Smelser. Review regulatory record here.
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