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Francis Smith is a registered investment advisor, based in Setauket, NY, with 33 years of industry experience.
Location
21 Bennetts Rd., Ste. 201 B, Setauket, NY, 11733
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Regulatory History (2)
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Regulatory
August 2025Pending
Regulatory
July 2025Final
Other Business ActivitiesSells Insurance
Francis operates a securities and fixed insurance business through FGS Financial, Inc. He also engages in fixed insurance sales, both activities being investment-related and conducted at a branch location.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
June 2025 - Present · 11 mos
Cambridge Investment Research, INC.Broker
June 2025 - Present · 11 mos
Previous Registrations
Commonwealth Financial Network
June 2021 - June 2025 · 4 yrs
Commonwealth Financial NetworkBroker
September 2012 - June 2025 · 12 yrs 9 mos
Walnut Street Securities, INC.Broker
December 2003 - October 2012 · 8 yrs 10 mos
Veravest Investments, INC.Broker
July 1997 - December 2003 · 6 yrs 5 mos
Aal Capital Management CorporationBroker
April 1992 - July 1997 · 5 yrs 3 mos
State Registrations21 states
CACTDEFLGALAMEMNMOMTNCNJNVNYOHPARISCTXVAWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.