Michael Maxwell Smith

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

• 10/2011 → Present
  Vantage Financial Group, Inc.
  Canonsburg, PA
• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2011-10-24 → 2016-12-31
  Vantage Financial Group, Inc.
  Canonsburg, PA
  Cleveland, OH
• 2007-07-23 → 2013-09-03
  Walnut Street Securities, Inc.
  Canonsburg, PA
  Canosburg, PA

Other Businesses

1. NAME OF OTHER BUSINESS: DBA R & M SMITH PARTNERS, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 9/2013 2009APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: DBA SOUTHPOINTE FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR START DATE: 1997 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 35 BRIEF DESCRIPTION OF DUTIES: IAR REPRESENTITIVE; 3. NAME OF OTHER BUSINESS: NON-PROFIT ORGANIZATION, INVESTMENT RELATED: NO, ADDRESS: 905 E MCMURRAY RD, VENETIA, PA 15367, NATURE OF BUSINESS: NON-PROFIT, START DATE: 03/2025, POSITION/TITLE/RELATIONSHIP: SECRETARY, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: ANNOUNCEMENTS AT WEEKLY MEETINGS, EMAILS TO HOME GROUP MEMBERS OF EVENTS AND NEW MEMBER WELCOMES;

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-06-07
• S63 Uniform Securities Agent State Law Examination
  2001-04-25

Other Names

• Mike M Smith