Frank J Smith

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2015 → 12/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Williamsburg, VA
• 04/2015 → 12/2019
  Bank Of America, N.A.
  Williamsburg, VA
• 01/2020 → 06/2021
  Voya Financial Advisors, Inc.
  Williamsburg, VA
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2020-01-13 → 2021-06-09
  Voya Financial Advisors, Inc.
  Windsor, CT
  Pittsburgh, PA
  Williamsburg, VA
  Greenville, SC
• 2015-01-30 → 2020-01-09
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Williamsburg, VA
• 2011-01-03 → 2015-02-10
  Invest Financial Corporation
  Appleton, WI
  Williamsburg, VA
• 2003-01-22 → 2010-12-31
  Voya Financial Advisors, Inc.
  Richmond, VA
  Virginia Beach, VA
  Williamsburg, VA
• 1999-04-19 → 2003-01-17
  Ws Griffith Securities, Inc.
  Williamsburg, VA

Other Businesses

NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 291 MCLAWS CIRCLE SUITE 2; WILLIAMSBURG; VA; 23185; Fixed Insurance Sales; Independent Insurance Agent; 1/10/2020; 160; 160; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:SPHINX FINANCIAL GROUP; Yes; 291 MCLAWS CIRCLE STE 2; WILLIAMSBURG; VA; 23185; FINANCIAL SERVICES/DBA; PRESIDENT & CEO; 1/10/2020; 160; 150; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS|

Exams

• S63 Uniform Securities Agent State Law Examination
  1998-03-03
• S65 Uniform Investment Adviser Law Examination
  1998-01-28

Other Names

• Frank J Smith
• Frank Junius Smith