Scott Paul 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

• 10/2014 → 06/2023
  Pruco Securities, Llc.
  Charlotte, NC
• 10/2014 → 06/2023
  Prudential Insurance Company Of America
  Charlotte, NC
• 07/2023 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 07/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2015-02-24 → 2023-07-18
  Pruco Securities, Llc.
  Charlotte, NC

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/2003; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE AND P&C; 2. NAME OF OTHER BUSINESS: CONVERGENT FINANCIAL PARTNERS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32; BRIEF DESCRIPTION OF DUTIES: PROVIDING BROKERAGE AND ADVISORY SERVICES TO CLIENTS WHEN NEEDED; 3. NAME OF OTHER BUSINESS: NCSHP FOUNDATION; INVESTMENT RELATED: YES; ADDRESS: 4696 MONUMENT VALLEY DRIVE INDIAN LAND, SC 29707; NATURE OF BUSINESS: NON PROFIT; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER, PROVIDE GUIDANCE, RAISE FUNDS FOR TROOPERS AND THEIR FAMILY;

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-02-19
• S63 Uniform Securities Agent State Law Examination
  2004-06-14