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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
PA RA APPROVED 2022-03-28
  • PA RA
    APPROVED
    Since 2022-03-28

Branch Locations

49 E. Main Street, Leola, PA 17540 • United States

431 West Main Street, Ephrata, PA 17522 • United States

24 South Main St, Manheim, PA 17545 • United States

220 N Duke St, Lancaster, PA 17602 • 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
Spring Township Parks And Recreation Sinking Spring PA 06/2017 07/2018
Rkl Llp Wyomissing PA 06/2019 08/2019
Albright College Schumo Center For Fitness And Wellness Reading PA 11/2018 02/2021
Student Reading PA 07/2018 10/2018
Wilson High School Reading PA 02/2010 06/2017
Northwestern Mutual Life Insurance Company Milwaukee WI 02/2020 05/2021
Northwestern Mutual Investment Services Llc Lancaster PA 02/2020 05/2021
Securian Financial Services Inc St Paul MN 09/2021 03/2022
Minnesota Life Insurance Co St Paul MN 09/2021 03/2022
Delaware Valley Advisors Huntingdon Valley PA 09/2021 03/2022
Massmutual Springfield MA 06/2021 07/2021
Cetera Financial Specialists Llc Schaumburg IL 03/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 03/2022 Present
Smoker Wealth Management Llc Leola PA 03/2022 Present
Smoker And Company Llc Leola PA 11/2022 Present
  • 06/2017 → 07/2018
    Spring Township Parks And Recreation
    Sinking Spring, PA
  • 06/2019 → 08/2019
    Rkl Llp
    Wyomissing, PA
  • 11/2018 → 02/2021
    Albright College Schumo Center For Fitness And Wellness
    Reading, PA
  • 07/2018 → 10/2018
    Student
    Reading, PA
  • 02/2010 → 06/2017
    Wilson High School
    Reading, PA
  • 02/2020 → 05/2021
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 02/2020 → 05/2021
    Northwestern Mutual Investment Services Llc
    Lancaster, PA
  • 09/2021 → 03/2022
    Securian Financial Services Inc
    St Paul, MN
  • 09/2021 → 03/2022
    Minnesota Life Insurance Co
    St Paul, MN
  • 09/2021 → 03/2022
    Delaware Valley Advisors
    Huntingdon Valley, PA
  • 06/2021 → 07/2021
    Massmutual
    Springfield, MA
  • 03/2022 → Present
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 03/2022 → Present
    Schaumburg, IL
  • 03/2022 → Present
    Smoker Wealth Management Llc
    Leola, PA
  • 11/2022 → Present
    Smoker And Company Llc
    Leola, PA
Previous Registrations
  • 2022-01-14 → 2022-04-04
    Securian Financial Services, Inc.
    Plymouth Meeting, PA
Other Businesses

1) SMOKER WEALTH MANAGEMENT LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, DBA FOR INVESTMENT BUSINESS, FINANCIAL ADVISOR, 40H/WEEK, SINCE 03/2022 2) NAME OF OTHER BUSINESS: SMOKER AND COMPANY LLC; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREPARATION; START DATE: 11/2022; POSITION/TITLE/RELATIONSHIP: TAX PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: TAX ACCOUNTING/PREPARATION FOR INDIVIDUALS AND BUSINESSES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-12-28
S63 Uniform Securities Agent State Law Examination 2021-03-06
  • S65 Uniform Investment Adviser Law Examination
    2021-12-28
  • S63 Uniform Securities Agent State Law Examination
    2021-03-06
Designations
Other Names
  • Nick Cummings
  • Nick Cummings

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