Frank Levon Smith

Employer firm

B. Riley Wealth Advisors, Inc. CRD 115927

$4.21B regulatory AUM 40 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:

Current Employers

B. Riley Wealth Advisors, Inc.

40 S. Main St. Suite 1600, Memphis, TN 38103 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-04-23

TX RA
APPROVED

Since 2021-04-23

Branch Locations

Austin, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
I.D. Theft Solutions Of America	Natchez	MS	11/2012	Present
National Securities Corp	Natchez	MS	06/2015	07/2022
B. Riley Wealth Management	Memphis	TN	07/2022	Present
B. Riley Wealth Advisor	Memphis	TN	07/2022	Present

11/2012 → Present

I.D. Theft Solutions Of America

Natchez, MS
06/2015 → 07/2022

National Securities Corp

Natchez, MS
07/2022 → Present

B. Riley Wealth Management

Memphis, TN
07/2022 → Present

B. Riley Wealth Advisor

Memphis, TN

Previous Registrations

2014-11-03 → 2015-06-23

Jhs Capital Advisors, Llc

Natchez,, MS

Tampa, FL

Summit, NJ
2011-01-04 → 2012-03-31

Morgan Keegan & Company, Llc

Flowood, MS

Birmingham, AL
2009-07-10 → 2010-02-10

Edward Jones

St Louis, MO

Brandon, MS

Other Businesses

1) BERGERON & PLAUCHE, LLC; INVESTMENT RELATED;507 FRANKLIN ST, NATCHEZ, MS 39120; DBA FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH B. RILEY WEALTH MANAGEMENT; START DATE 2009; 40 HOURS / WEEK DEVOTED DURING SECURITIES TRADING HOURS. 2)B. RILEY WEALTH INSURANCE; INVESTMENT RELATED; 6209 INDIAN CANYON DR AUSTIN TX 78746; INSURANCE/ ANNUITY SALES; AGENT; START DATE 2022; 10 HRS/ MONTH DEVOTED DURING SECURITIES TRADING HRS. 3) LOST CREEK NEIGHBORHOOD ASSOCIATION; NON INVESTMENT RELATED; 1305 QUAKER RIDGE DR AUSTIN TX 78746; NEIGHBORHOOD ASSOCIATION VOLUNTEER; TREASURER; START DATE 1/2024; 4 HOURS/ MONTH DEVOTED, NONE DURING SECURITIES TRADING HOURS.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-11-01
S63	Uniform Securities Agent State Law Examination	2003-09-12

S66 Uniform Combined State Law Examination

2014-11-01
S63 Uniform Securities Agent State Law Examination

2003-09-12

Designations

Certified Financial Planner

Other Names

Lee Smith
Frank Levon Smith
Frank Levon Smith

View on SEC IAPD