Kristopher B 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

• 06/2016 → 04/2022
  First Financial Equity Corporation
  Scottsdale, AZ
• 04/2022 → Present
  Cetera Wealth Services, Llc
  Fargo, ND
• 04/2022 → Present
  Kscl Llc
  Kindred, ND
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2016-06-17 → 2022-04-20
  Ffec Wealth Partners Llc
  Fargo, ND
  Fargo, ND
  Scottsdale, AZ
  Scottsdale, AZ
  Billings, MT
• 2006-08-12 → 2016-06-21
  Ubs Financial Services Inc.
  Fargo, ND
• 2002-03-18 → 2006-08-12
  Piper Sandler & Co.
  Fargo, ND
  Minneapolis, MN
  Fargo, ND

Other Businesses

1. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: KSCL LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: LLC; START DATE: 4/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: OWNER - LLC FOR TAX PURPOSES; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 3/2023; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE;

Exams

• S66 Uniform Combined State Law Examination
  2002-03-05

Other Names

• Kristopher B. Smith
• Kristopher Beau Scott Smith