Thomas Michael 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

• 07/1997 → Present
  Hess And Smith
  Washington, NJ
• 08/2004 → 09/2025
  Avantax Investment Services, Inc.
  Washington, NJ
• 01/2012 → 09/2025
  Avantax Advisory Services
  Washington, NJ
• 07/2018 → 09/2025
  Avantax Insurance Services, Llc
  Washington, NJ
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Washington, NJ
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 04/2026 → Present
  Blue Valley Financial Llc
  Washington, NJ

Previous Registrations

• 2012-01-13 → 2025-09-05
  Avantax Advisory Services
  Washington, NJ

Other Businesses

1) Hess and Smith~'NIR'~18 BUTTERMILK BRIDGE RD~WASHINGTON~NJ~07882~Tax Preparation/Accounting~Owner/Sole Proprietor~8/2/2004~40hrs~30hrs~ACCOUNTANT 2) NAME OF OTHER BUSINESS: BLUE VALLEY FINANCIAL LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ACOUNTING AND TAX PREP SERVICES; START DATE: 04/2026; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ACOUNTING AND TAX PREP SERVICES;

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-12-06
• S63 Uniform Securities Agent State Law Examination
  2004-08-31