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Gerald J Smith

Commonwealth Financial Network

Charlotte, NC

CRD 5979001

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Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

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

Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-11-11
  • NC RA
    APPROVED
    Since 2024-11-11

Branch Locations

Charlotte, NC • 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
OrganizationCityStateFromTo
Fsc Securities Charlotte NC 09/2011 11/2023
Osaic Wealth, Inc. Charlotte NC 11/2023 11/2024
Commonwealth Financial Network Waltham MA 11/2024 Present
Kelly Ryan Financial Charlotte NC 11/2024 Present
Previous Registrations
  • 2023-11-03 → 2024-11-15
    Osaic Wealth, Inc.
    Charlotte, NC
  • 2014-05-07 → 2023-11-03
    Fsc Securities Corporation
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-04-03
  • S66 Uniform Combined State Law Examination
    2014-04-03

View on SEC IAPD

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