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James Anthony Smith

Cetera Investment Advisers LLC

Nashville, TN

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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
TN RA APPROVED 2018-07-11
  • TN RA
    APPROVED
    Since 2018-07-11

Branch Locations

5707 Nolensville Road, Nashville, TN 37211 • 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 Nashville TN 09/2015 Present
Cetera Investment Services Llc St.CLoud MN 09/2015 Present
Cetera Investment Advisers Llc Nashville TN 07/2018 Present
  • 09/2015 → Present
    Regions Bank
    Nashville, TN
  • 09/2015 → Present
    Cetera Investment Services Llc
    St.CLoud, MN
  • 07/2018 → Present
    Cetera Investment Advisers Llc
    Nashville, TN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-28
S63 Uniform Securities Agent State Law Examination 2015-01-28
  • S66 Uniform Combined State Law Examination
    2018-06-28
  • S63 Uniform Securities Agent State Law Examination
    2015-01-28

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
WELLS FARGO CLEARING SERVICES, LLC
OSAIC WEALTH, INC.
OCEAN PARK ASSET MANAGEMENT, LLC
U.S. BANCORP ADVISORS, LLC
TRUIST ADVISORY SERVICES, INC.
HIGHTOWER ADVISORS, LLC
SANFORD C. BERNSTEIN & CO., LLC

Other Investors

JOHN STUART PIOVARCY
Robert Michael McMahan
Thaddeus B Corbin
HEATHER BARBOUR
CRYSTAL LYNN BEASTROM
JULIE G SANDBERG
JACKSON REESE MORAN
Hugh G Anderson

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
OSAIC WEALTH, INC. · NASHVILLE, TN
OCEAN PARK ASSET MANAGEMENT, LLC · Nashville, TN
U.S. BANCORP ADVISORS, LLC · Nashville, TN

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