Paul Joseph 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

• 03/2012 → 10/2018
  Foresters Equity Services, Inc
  Cary, CA
• 10/2018 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 10/2018 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 09/2007 → 10/2019
  Village Of Oakwood Hills
  Oakwood Hills, IL
• 03/2006 → Present
  Smith & Associates Inc Insurance Services
  Oakwood Hill, IL
• 03/2019 → Present
  Smith And Associates Inc. Financial Services
  Oakwood Hill, IL

Previous Registrations

• 2012-03-23 → 2018-10-31
  Foresters Equity Services, Inc.
  San Diego, CA
  Cary, IL
  Cary, IL
  Livonia, MI
• 2003-02-18 → 2012-03-22
  Osaic Fs, Inc.
  Cary, IL
• 1999-09-01 → 2003-02-26
  Polaris Advisory Services Inc
  Cary , IL

Other Businesses

1) SMITH & ASSOCIATES INC INSURANCE SERVICES, NOT INVESTMENT RELATED, ADDRESS, DBA FOR FIXED INSURANCE BUSINESS, 50% OWNER, SALES OF FIXED INSURANCE, HEALTH INSURANCE, PROPERTY AND CASUALTY, COMMERCIAL INSURANCE, SINCE 03/2006, 25H/WEEK, 2) SMITH AND ASSOCIATES INC. FINANCIAL SERVICES , INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 03/2019, REGISTERED REPRESENTATIVE, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-16
• S63 Uniform Securities Agent State Law Examination
  1992-01-29