Brian Kirkham Smoot

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2005 → 06/2024
  Securities America, Inc.
  Dallas, TX
• 01/2007 → 06/2024
  Securities America Advisors, Inc
  Dallas, TX
• 01/1998 → Present
  Brian K Smoot, Jd
  Dallas, TX
• 05/1990 → Present
  Brian K Smoot, Cpa
  Dallas, TX
• 06/2024 → 04/2026
  Osaic Wealth, Inc.
  Dallas, TX
• 06/2026 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2026 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2024-06-14 → 2026-04-08
  Osaic Wealth, Inc.
  Pinehurst, NC
  Dallas, TX
• 2007-01-04 → 2024-06-14
  Securities America Advisors, Inc.
  Dallas, TX
  Dallas, TX
  Dallas, TX
• 2001-09-26 → 2005-09-13
  Osaic Fa, Inc.
  Dallas, TX

Other Businesses

1. NAME OF OTHER BUSINESS: ROADMAP WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2026 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 25 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANICAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/1999 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: CITY OF UNIVERSITY PARK INVESTMENT RELATED: NO ADDRESS: DALLAS, TX NATURE OF BUSINESS: CITY COUNSEL START DATE: 07/2024 POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ACT AS VOTING COMMITTEE MEMBER FOR PLANNING AND ISSUES TO BE PRESENTED TO THE CITY COUNCIL; 4. NAME OF OTHER BUSINESS: BRIAN K. SMOOT, CPA INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX SERVICES START DATE: 05/1990 POSITION/TITLE/RELATIONSHIP: SOLE PROPRIETOR APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: TAX RETURN PREP, TAX PLANNING AND AD HOC CONSULTING; 5. NAME OF OTHER BUSINESS: BRIAN K. SMOOT, JD INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LEGAL SERVICES START DATE: 01/1998 POSITION/TITLE/RELATIONSHIP: ATTORNEY APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: PROVIDE LEGAL SERVICES; 6. NAME OF OTHER BUSINESS: BRIAN K. SMOOT INVESTMENT RELATED: NO ADDRESS: DALLAS, TX NATURE OF BUSINESS: PERSONAL RENTAL PROPERTY START DATE: 04/2026 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY;

Exams

• S66 Uniform Combined State Law Examination
  2000-07-19