Nex Systems
Type not stated

Francis G. Smith

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/24/2025: In February 2023, while associated with Commonwealth Financial Network, Smith certified to the State of New York that he had personally completed the continuing education (CE) required to renew his state insurance license, when, in fact, another person had completed that CE on his behalf. Therefore, Smith violated FINRA Rule 2010.

    Reference 2024081406301data-portal.finra.orgfinra.org

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