Frank Smith is a registered investment advisor, based in Kennesaw, GA, with 34 years of industry experience. Frank is also registered as a broker, so some compensation may come from commissions on products sold.
Location
1925 Vaughn Road, Suite 200, Kennesaw, GA, 30144
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Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2009Denied
Customer Dispute
April 2005Settled
Customer Dispute
August 2004Settled
Employment History
Current Registrations
Steward Partners Investment Solutions, LLC
February 2024 - Present · 2 yrs 8 mos
Steward Partners Investment Advisory, LLC
February 2024 - Present · 2 yrs 8 mos
Steward Partners Investment Solutions, LLCBroker
February 2024 - Present · 2 yrs 8 mos
Previous Registrations
J.P. Morgan Securities LLC
April 2012 - March 2024 · 11 yrs 11 mos
J.P. Morgan Securities LLCBroker
April 2012 - March 2024 · 11 yrs 11 mos
Morgan Keegan & Company, INC.
February 2008 - April 2012 · 4 yrs 2 mos
Morgan Keegan & Company, INC.Broker
January 2008 - April 2012 · 4 yrs 3 mos
Morgan Keegan & Company, INC.
January 2008 - January 2008 · 0 mos
Suntrust Investment Services, INC.
June 2005 - January 2008 · 2 yrs 7 mos
Suntrust Investment Services, INC.Broker
June 2005 - January 2008 · 2 yrs 7 mos
Suntrust Capital Markets, INC.
October 2002 - July 2005 · 2 yrs 9 mos
Suntrust Capital Markets, INC.Broker
October 2002 - June 2005 · 2 yrs 8 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
February 1999 - October 2002 · 3 yrs 8 mos
Salomon Smith Barney INC.Broker
July 1993 - March 1999 · 5 yrs 8 mos
Lehman Brothers INC.Broker
September 1992 - July 1993 · 10 mos
State Registrations23 states
ALARCACOCTFLGALAMAMIMONCNMNYOHPASCTNTXUTVAWAWI
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.
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