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Francis L. Smookler

Some features on this profile are disabled
CRD#: 2712672
FS

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.

Francis Louis Smookler JR, who also goes by Francis Louis Smookler, Frank Smookler, was a registered financial professional .

Francis is a previously registered financial professional and started their career in finance in 1996. Francis had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Francis Louis Smookler | Frank Smookler

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

April 11, 2016 - January 30, 2017

COVA CAPITAL PARTNERS LLC

BD
CRD#: 109761
SYOSSET, NY
Past

April 7, 2015 - April 12, 2016

LEGEND SECURITIES, INC.

BD
CRD#: 44952
Syosset, NY
Past

March 12, 2015 - March 20, 2015

SIXTEEN SECURITIES, INC.

BD
CRD#: 104025
Melville, NY
Past

July 15, 2003 - March 13, 2015

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
Melville, NY
Past

May 14, 2001 - December 12, 2001

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

January 24, 2000 - April 18, 2001

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

September 21, 1999 - October 1, 1999

MAGNUM SECURITIES OF NEW YORK INC.

BD
CRD#: 39267
NEW YORK, NY
Past

April 23, 1999 - July 9, 1999

FAS WEALTH MANAGEMENT SERVICES, INC.

BD
CRD#: 10164
SARASOTA, FL
Past

January 22, 1999 - May 10, 1999

J. BANKS COMPANY

BD
CRD#: 42570
BOCA RATON, FL
Past

January 14, 1997 - January 8, 1998

D.L. CROMWELL INVESTMENTS, INC.

BD
CRD#: 37730
BOCA RATON, FL
Past

July 29, 1996 - December 4, 1996

KENSINGTON WELLS INCORPORATED

BD
CRD#: 30570

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

State Security Law Exam
RR
Series 63
Date: 8/2/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/30/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/1996
General Securities Representative Examination

Current Firm

CC
COVA CAPITAL PARTNERS LLC
ALERE FINANCIAL | VENTURE CAPITAL CROSS | GREGORY O'CONNOR AND ASSOCIATES, LLC | COVA CAPITAL PARTNERS LLC | BANNOCKBURN PARTNERS, LLC | APEX MILLENNIUM GROUP, LLC

CRD#: 109761 / SEC#: , 8-53105

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
6851 Jericho Tpke Suite 205, Syosset, NY 11791
Mailing Address
6851 Jericho Tpke Suite 205, Syosset, NY 11791
Phone number
(917) 398-3033
Established
New York since 06/15/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AVCO CAPITAL CORP.OWNER
GIBSTEIN, EDWARD TAYLORCHIEF EXECUTIVE OFFICER ("CEO"), HEAD OF INVESTMENT BANKING1197295
STOUBER, RANDYFINOP1104531
WALKER, PATRICK THOMASCCO2107798

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

COVA CAPITAL PARTNERS LLC

CRD#: 109761

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