Frank Smith
Frank Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Williamsburg, VA, with 37 years of industry experience. Frank operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
291 McLaws Circle Ste 2, Williamsburg, VA, 23185
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Frank is an independent insurance agent selling fixed insurance products since 2020. He is also the President & CEO of Sphinx Financial Group, offering insurance, securities, and investment products; these activities take nearly all of Frank's time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Invest Financial CorporationBroker
Invest Financial Corporation
Ing Financial Partners, INC
Ing Financial Partners, INC.Broker
Ws Griffith Securities, INC.
Ws Griffith Securities, INC.Broker
Travelers Equities Sales, INC.Broker
State Registrations11 states
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