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Joseph Daniel Smith

Cetera Investment Advisers LLC

Scottsdale, AZ

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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2026-01-05
  • AZ RA
    APPROVED
    Since 2026-01-05

Branch Locations

8111 East Indian Bend Road, Scottsdale, AZ 85250 • 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
OrganizationCityStateFromTo
A-Advantage Tax & Financial Services Inc. Phoenix AZ 10/2006 10/2025
Hk Wealth Management Scottsdale AZ 11/2025 Present
Cetera Investment Advisers Llc Schaumburg IL 12/2025 Present
  • 10/2006 → 10/2025
    A-Advantage Tax & Financial Services Inc.
    Phoenix, AZ
  • 11/2025 → Present
    Hk Wealth Management
    Scottsdale, AZ
  • 12/2025 → Present
    Cetera Investment Advisers Llc
    Schaumburg, IL
Previous Registrations
  • 2012-10-05 → 2025-10-02
    A-Advantage Tax & Financial Services Inc.
    Phoenix, AZ
    Phoenix, AZ
  • 2002-08-06 → 2006-06-28
    Cetera Wealth Services, Llc
    Phoenix, AZ
    Phoenix, AZ
Other Businesses

Tax consulting and preparation services

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-09-18
S66 Uniform Combined State Law Examination 2002-07-22
S63 Uniform Securities Agent State Law Examination 1989-05-05
  • S65 Uniform Investment Adviser Law Examination
    2012-09-18
  • S66 Uniform Combined State Law Examination
    2002-07-22
  • S63 Uniform Securities Agent State Law Examination
    1989-05-05
Other Names
  • Dan Smith

View on SEC IAPD

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JARON DAVID CARMICHAEL
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Other Offices

BRIDGELIGHT CAPITAL LLC · SCOTTSDALE, AZ
MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ
IRONWOOD WEALTH ADVISORS, LLC · SCOTTSDALE, AZ
PAUL MARASCALCO REGISTERED INVESTMENT ADVISOR · SCOTTSDALE, AZ
CETERA INVESTMENT ADVISERS LLC · SCOTTSDALE, AZ
FAITH INVESTOR SERVICES · Scottsdale, AZ
MERIDIAN WEALTH MANAGEMENT, LLC · Scottsdale, AZ

More in Scottsdale, AZ

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