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Francis N. Beretta
STERLING SMITH
HOUSTON, TX
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CRD#: 4118253
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Professional summary
Francis N Beretta, who also goes by Francis Noel Buckley, is a registered financial professional currently at STERLING SMITH CORPORATION located in Houston, Texas.
Francis is registered as a RR (Registered Representative) and started their career in finance in 2000. Francis has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
No
Aliases
Francis Noel Buckley
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.
CRS (Client Relationship Summary) - BD
Click below to view Francis N Beretta's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 21, 2000 - Present
STERLING SMITH CORPORATION
BD
CRD#: 38041
HOUSTON, TX
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
SRO Registrations
RR
FINRA
Current Firm
SS
STERLING SMITH CORPORATION
STERLING SMITH CORPORATION
CRD#: 38041 / SEC#: , 8-48058
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
4326a Scotland, Houston, TX 77007
Mailing Address
4326a Scotland, Houston, TX 77007
Phone number
(713) 861-6500
Established
Texas since 01/25/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMITH, STERLING RICHARD | PRESIDENT/DIRECTOR/CO/IBDP/CCO/CFO/F&O PRINCIPAL/OP PROF/PFO/POO/IBP/FI | 1008425 |
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.
