Frances Smith, financial advisor Bellevue WA
93 score

Frances Smith

CRD Number: 5880255
Current Firm: Mercer Global Advisors Inc.

Frances Smith (CRD# 5880255) is an Investment Advisor Representative working at Mercer Global Advisors Inc. in Bellevue, WA and has over 3 years of experience in the finance industry. Frances Smith has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Mercer Global Advisors Inc. Bellevue, WA Dec 2017 - Current < 1
Mercer Global Advisors Inc. Bellevue, WA Sep 2015 - Dec 2017 2
Mercer Global Advisors Inc. Bellevue, WA Oct 2014 - Sep 2015 < 1
Ross Sinclaire & Associates Columbus, OH Mar 2011 - Oct 2014 3
The Ohio State University Columbus, OH Sep 2007 - Jun 2011 3
Ubs Wealth Management Upper Arlington, OH Jan 2011 - Mar 2011 < 1
Columbus Housing Partner Columbus, OH Jun 2010 - Aug 2010 < 1
Csend Geneva, Sep 2009 - Nov 2009 < 1
Ambercrombie & Fitch Columbus, OH Jun 2009 - Aug 2009 < 1
Francesca's Collections Rocky River, OH Nov 2006 - Aug 2008 1
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Dec 2014
Contact Info for Frances Smith
Phone Number: (800) 258-1559
Registered State(s):
  • WA
By the Numbers
  • Total Assets Under Management
    10,058
    MILLIONS
  • Total Number of Accounts
    23,813
    ACCOUNTS
  • Average Account Value
    $422,373
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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