Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Smith is a financial advisor with over 30 years of experience in the industry. Frank is currently registered as a Registered Representative and Investment Advisor Representative with Cetera Investment Advisers LLC. Previously, Frank has also worked with Voya Financial Advisors, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Invest Financial Corporation, ING Financial Partners, Inc., WS Griffith Securities, Inc., and Travelers Equities Sales, Inc. Frank is a Series 7, 24, 63, and 65 licensed professional and also holds a SIE. Frank is based in Williamsburg, Virginia.
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.
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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 3/3/1998
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 1/28/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 6/11/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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