Dennis C Smith

Current Employers

Employment History

• 04/2014 → 12/2023
  Cetera Advisor Networks Llc
  El Segundo, CA
• 09/1999 → 01/2025
  Stratis Financial
  Huntington Beach, CA
• 01/2017 → Present
  Clg Llc
  Long Beach, CA
• 06/2023 → 12/2023
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2023-06-29 → 2023-12-31
  Cetera Investment Advisers Llc
  Long Beach, CA
• 2014-09-02 → 2023-06-29
  Cetera Wealth Services, Llc
  Long Beach, CA
  El Monte, CA

Other Businesses

1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 04/2014, 2HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, ANNUITIES, AND LONG-TERM CARE; 2. COPIAM ASSET MANAGEMENT, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL PLANNING & ASSET MANAGEMENT, START 01/08/2015, 30-40 HRS/WK (32.5 TRADING HOURS), PRINCIPAL; 3. NAME OF OTHER BUSINESS: ROTARY CLUB OF LONG BEACH; INVESTMENT RELATED: NO ; ADDRESS: 400 OCEANGATE #470 LONG BEACH, CA 90802 ; NATURE OF BUSINESS: SERVICE CLUB ; START DATE: 07/2022 ; POSITION/TITLE/RELATIONSHIP: IMMEDIATE PAST PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 10 ; APX NUMBER OF HOURS DURING TRADING HOURS 10 ; BRIEF DESCRIPTION OF DUTIES: ADVISE BOARD OF DIRECTORS 4. NAME OF OTHER BUSINESS: LONG BEACH ROTARY CHARITABLE FOUNDATION; INVESTMENT RELATED: NO ; ADDRESS: 400 OCEANGATE #470 LONG BEACH, CA 90802 ; NATURE OF BUSINESS: CHARITABLE FOUNDATION ; START DATE: 07/2022; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1-2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 ; BRIEF DESCRIPTION OF DUTIES: RUN BOD MEETINGS, SOLICIT DONATIONS, ADVISE AND SEEK CONSENT ON EXPENDITURE OF FUNDS TO COMMUNITY ORGS, CLUB PROJECTS; 5. United American Mortgage Corporation Non Investment Related 3198 Airport Loop Ste F, Costa Mesa, CA 92626 Originating, processing and funding mortgages for residential mortgage clients Loan Originator Loan Originator, no ownership or management responsibilities May 30, 2024 12-15 Hours 12-15 Hours during securities trading hours Consult with possible clients regarding mortgage options for purchase or refinance mortgages, if became active client in-take application, "hand-off" file to loan coordinator within UAMCO to complete application, facilitate collection of necessary documents and statements, interact with loan processor. From this point I communicate status and answer client questions they may have until funding of mortgage. 6. Rotary Club of Long Beach; Investment Related; The Queen Mary 1126 Queens Hwy Sylvan Room Long Beach, CA 90802; Volunteer service organization; Treasurer; Start date 07/01/2026; 5-10 hours a month devoted to this business activity. Duties include treasurer of rotary club.

Exams

• S66 Uniform Combined State Law Examination
  2014-09-02

Other Names

• Dennis Smith
• Dennis C Smith