Kathleen E. Small

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

• 08/2002 → 10/2018
  Kathleen E. Small,Cpa
  Glendora, NJ
• 07/2004 → 09/2025
  Avantax Investment Services, Inc.
  Port St Lucie, FL
• 01/2005 → 09/2025
  Avantax Advisory Services
  Port St Lucie, FL
• 10/2012 → 09/2025
  Avantax Insurance Services, Llc
  Port St Lucie, FL
• 08/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Port Saint Lucie, FL

Previous Registrations

• 2005-01-12 → 2025-09-05
  Avantax Advisory Services
  Glendora, NJ
  Atlantic City, NJ
  Port Saint Lucie, FL
  Dallas, TX

Exams

• S63 Uniform Securities Agent State Law Examination
  2004-11-17

Designations

• Certified Financial Planner

Other Names

• Kathleen E Boguszewski
• Kathleen E Miller
• Kathy E Small