Frank Smith, financial advisor Austin TX

Frank Smith

CRD Number: 4411417
Current Firm: B. Riley Wealth Advisors, Inc.

Frank Smith (CRD# 4411417) is an Investment Advisor Representative working at B. Riley Wealth Advisors, Inc. in Austin, TX and has over 20 years of experience in the finance industry. Frank 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
B. Riley Wealth Management Memphis, TN Jul 2022 - Current 1
B. Riley Wealth Advisor Memphis, TN Jul 2022 - Current 1
I.d. Theft Solutions Of America Natchez, MS Nov 2012 - Current 11
National Securities Corp Natchez, MS Jun 2015 - Jul 2022 7
Jhs Capital Advisors, LLC Tampa, FL Aug 2014 - Jun 2015 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 2003
S66 NASAA Uniform Combined State Law Examination Nov 2014
Contact Info for Frank L. Smith
Phone Number: 901-251-1330
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    6,885
    MILLIONS
  • Total Number of Accounts
    20,323
    ACCOUNTS
  • Average Account Value
    $338,770
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
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, WY

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