Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Gerard Smith is a financial advisor who is registered with the state of New York. Francis is affiliated with Commonwealth Financial Network. Francis has been in the financial industry for over 30 years. Francis has a Series 7, Series 6, and Series 63 license. Francis has experience in a wide range of financial products and services including financial planning, pension consulting, and portfolio management. Prior to joining Commonwealth Financial Network, Francis was employed by Walnut Street Securities, Inc., VeraVest Investments, Inc., and Aal Capital Management Corporation. Francis has over 30 years of experience in the financial services industry.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
06/29/2021 - Present
Commonwealth Financial Network (Setauket NY)
NY
12/09/2003 - 10/02/2012
WALNUT STREET SECURITIES, INC. (SMITHTOWN NY)
MA
07/02/1997 - 12/11/2003
VERAVEST INVESTMENTS, INC. (WORCESTER MA)
MN
04/14/1992 - 07/14/1997
AAL CAPITAL MANAGEMENT CORPORATION (MINNEAPOLIS MN)
BC
Issued 04/27/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/2012
Series 7 - General Securities Representative Examination
BC
Issued 04/13/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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