Frank Smith is a CFP-designated registered investment advisor, based in Austin, TX, with 18 years of industry experience.
Location
Austin, TX
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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 involved with Bergeron & Plauche, LLC, conducting financial securities business through B. Riley Wealth Management, dedicating full-time hours during trading hours. He also works as an agent for B. Riley Wealth Insurance, selling insurance and annuities, dedicating a few hours per week.
Employment History
Current Registrations
B. Riley Wealth Management
B. Riley Wealth ManagementBroker
B. Riley Wealth Advisors, INC.
Previous Registrations
National Securities CorporationBroker
Jhs Capital Advisors, LLC
Jhs Capital Advisors, LLCBroker
Morgan Keegan & Company, INC.
Morgan Keegan & Company, INC.Broker
Edward Jones
Edward JonesBroker
Planco Financial Services, LLCBroker
Morgan Keegan & Company, INC.Broker
State Registrations13 states
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.