Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Barrett Smith is a financial advisor with over 20 years of experience in the financial services industry. Frank is currently registered with Stifel, Nicolaus & Company, Inc. and has held previous positions at RAYMOND JAMES & ASSOCIATES, INC., CANTOR FITZGERALD & CO., HORNOR, TOWNSEND & KENT, INC., and NEW ENGLAND SECURITIES. Frank holds the Series 6, Series 7, Series 63, and SIE licenses and is registered in 19 states. Frank has a broad range of experience serving individual and institutional clients, including high-net-worth individuals, corporations, and charitable organizations.
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
TN
05/02/2012 - Present
Stifel, Nicolaus & Company, Inc. (MEMPHIS TN)
TN
10/15/2008 - 04/30/2012
RAYMOND JAMES & ASSOCIATES, INC. (MEMPHIS TN)
TN
05/03/2006 - 09/11/2008
CANTOR FITZGERALD & CO. (MEMPHIS TN)
PA
03/19/2004 - 09/08/2005
HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)
NY
02/04/2003 - 02/24/2004
NEW ENGLAND SECURITIES (NEW YORK NY)
BC
Issued 05/11/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2006
Series 7 - General Securities Representative Examination
BC
Issued 02/03/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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