Susan M 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

• 07/2020 → 04/2023
  Private Wealth Financial Group, Lpl, Thomas Dyer
  West Boylston, MA
• 11/2017 → 07/2020
  Unemployed
  Spencer, MA
• 08/2016 → 10/2017
  Mole Hollow Candle
  Sturbridge, MA
• 07/2020 → 04/2023
  Lpl Financial
  West Boylston, MA
• 04/2023 → Present
  Bowditch & Dewey Llp
  Worcester, MA
• 04/2023 → Present
  B & D Advisors Llc
  Worcester, MA
• 05/2023 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 05/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 04/2023 → Present
  The Patriot Financial Group, Llc
  Worcester, MA

Previous Registrations

• 2022-12-08 → 2023-04-25
  Lpl Financial Llc
  Salem, NH

Other Businesses

1) THE PATRIOT FINANCIAL GROUP, INVESTMENT RELATED, ADDRESS WESTBOROUGH, MA, REGISTERED INVESTMENT ADVISER, INVESTMENT ADVISER REPRESENTATIVE, MEETING WITH SENIOR ADVISORS AND CLIENTS FOR REVIEW, ANSWERING QUESTIONS, SINCE 04/2023, 160 HRS/MO 2) B&D ADVISORS LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, FINANCIAL ADVISOR, DBA FOR INVESTMENT BUSINESS, SINCE 04/2023, 160 HRS/MO 3) BOWDITCH & DEWEY LLP, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, SERVICE ASSISTANT, 40H/MO, SINCE 04/2023; 4) NAME OF OTHER BUSINESS: SUSAN SMITH; INVESTMENT RELATED: NO; ADDRESS: 22 CIRCLE DRIVE #34 ASHLAND, NH 03217; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 12/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY; 5) NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 11/2023; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: 0 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;

Exams

• S66 Uniform Combined State Law Examination
  2022-11-28

Other Names

• Susan M Smith
• Susan Marie Kokernak
• Susan M Jump
• Susan Kokernak Jump