Frank A. Smyth

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CRD#: 1505002

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Frank Ambrose Smyth, who also goes by Frank Ambrose Symth, was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 2002. Frank had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Frank Ambrose Symth

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 2, 2002 - February 14, 2007

BANC OF AMERICA SPECIALIST, INC.

CRD#: 103971

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

BANC OF AMERICA SPECIALIST, INC.

BANC OF AMERICA SPECIALIST, INC. | FLEET SPECIALIST, INC. | FLEET MEEHAN SPECIALIST, INC.

CRD#: 103971 / SEC#: , 8-52439

Terminated by SEC on 02/21/2012

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 02/22/2000

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
NB HOLDINGS CORPORATION	STOCK HOLDER
CAWLEY, KATHLEEN	CHIEF COMPLIANCE OFFICER & GENERAL PRINCIPAL	1129804

Disclosures

Regulatory Event

Red Flags

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