Kenneth Lee Smith

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2020-07-08

TN RA
APPROVED

Since 2020-07-08

Branch Locations

6700 Carothers Pkwy, Franklin, TN 37067 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Regions Bank	Franklin	TN	05/2006	Present
Cetera Investment Services Llc	St Cloud	MN	03/2020	Present
Cetera Investment Advisers Llc	Franklin	TN	07/2020	Present

05/2006 → Present

Regions Bank

Franklin, TN
03/2020 → Present

Cetera Investment Services Llc

St Cloud, MN
07/2020 → Present

Cetera Investment Advisers Llc

Franklin, TN

Other Businesses

1. REGIONS BANK WEALTH ADVISOR, DEAL WITH HIGH NET WORTH INDIVIDUAL CLIENTS, LOANS, TRUSTS, MORTGAGE, INSURANCE OR ESTATE PLANNING

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-07-02

S66 Uniform Combined State Law Examination

2020-07-02

Other Names

Ken Smith

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

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