Timothy John Smith

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-08-04
CT	RA	APPROVED	2023-06-29

TX RA
APPROVED

Since 2025-08-04
CT RA
APPROVED

Since 2023-06-29

Branch Locations

73 Redding Rd, Georgetown, CT 06829 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Georgetown Financial Group, Inc.	Georgetown	CT	11/2012	Present
Cetera Wealth Services, Llc	El Segundo	CA	09/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

11/2012 → Present

Georgetown Financial Group, Inc.

Georgetown, CT
09/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1)INDEPENDENT INSURANCE AGENT (LIFE/ACCIDENT/HEALTH, LONG-TERM CARE) 5 SECURITIES TRADING HOURS WEEKLY, START DATE 1/2013 2)BROKERAGE MANAGER, GEORGETOWN FINANCIAL GROUP 40 SECURITIES TRADING HOURS WEEKLY, 5 NON SECURITIES TRADING HOURS WEEKLY, START DATE 11/2012 3) NAME OF OTHER BUSINESS: AMICOR ENTERPRISE INSURANCE GROUP (EIG) INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: FIXED INSURANCE START DATE: 1/2016 POSITION/TITLE/RELATIONSHIP: WHOLESALER APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: PRODUCT EDUCATION, SALES CONCEPT TRAINING, PROSPECT EVALUATION, ILLUSTRATION PREP AND UNDERWRITING SUPPORT

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1991-03-01

S63 Uniform Securities Agent State Law Examination

1991-03-01

Designations

View on SEC IAPD