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Charles A Smith

Cetera Investment Advisers LLC

Duquoin, IL

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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
IL RA APPROVED 2020-06-30
  • IL RA
    APPROVED
    Since 2020-06-30

Branch Locations

330 Southtown Shopping Center, Duquoin, IL 62832 • 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
Regions Bank Duquoin IL 01/2013 Present
Cetera Investment Services Llc St. Cloud MN 01/2013 Present
Cetera Investment Advisers Llc Duquoin IL 06/2020 Present
  • 01/2013 → Present
    Regions Bank
    Duquoin, IL
  • 01/2013 → Present
    Cetera Investment Services Llc
    St. Cloud, MN
  • 06/2020 → Present
    Cetera Investment Advisers Llc
    Duquoin, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-06-29
S63 Uniform Securities Agent State Law Examination 1997-04-16
  • S65 Uniform Investment Adviser Law Examination
    2020-06-29
  • S63 Uniform Securities Agent State Law Examination
    1997-04-16
Other Names
  • Chuck Smith

View on SEC IAPD

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