Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank J Smith is a financial advisor registered with Cetera Investment Advisers LLC. Frank has been in the financial services industry since 1988. Frank is registered to provide advisory services in several states including California, Connecticut, Florida, Georgia, Maryland, Michigan, New Jersey, New York, North Carolina, Virginia, and Washington. Frank is a Series 7, Series 24, Series 63, and Series 65 licensed financial advisor and has also passed the SIE exam. Frank is a President and CEO of Sphinx Financial Group and a Fixed Insurance Sales agent. Frank's specializations include retirement planning, college savings, insurance planning, investment planning, and estate planning. Frank has worked with a variety of clients including individuals, families, businesses, and retirement plans.
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.
A percentage of the total value of assets under management is charged.
1
2
VA
06/29/2023 - Present
Cetera Investment Advisers LLC (Williamsburg VA)
VA
01/10/2020 - 06/09/2021
VOYA FINANCIAL ADVISORS, INC. (Williamsburg VA)
VA
01/30/2015 - 01/09/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WILLIAMSBURG VA)
VA
01/03/2011 - 02/10/2015
INVEST FINANCIAL CORPORATION (WILLIAMSBURG VA)
VA
01/17/2003 - 12/31/2010
ING FINANCIAL PARTNERS, INC. (WILLIAMSBURG VA)
CT
01/01/1995 - 01/17/2003
WS GRIFFITH SECURITIES, INC. (HARTFORD CT)
CA
10/19/1988 - 12/19/1994
TRAVELERS EQUITIES SALES, INC. (EL SEGUNDO CA)
BC
Issued 03/03/1998
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/28/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/11/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Frank Smith is the right advisor for you? Invested Better is here to help.
