James Steven Smola

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

• 10/2006 → Present
  Gps Financial Group, Llc
  Avon, OH
• 03/2012 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2004-09-10 → 2012-03-07
  Osaic Wealth, Inc.
  Avon, OH
  Westlake, OH
  Westlake, OH

Other Businesses

1) NAME OF OTHER BUSINESS: VARIOUS COMPANIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: OFFERS FIXED LIFE, ANNUITIES AND LTC; 2) NAME OF OTHER BUSINESS: GPS FINANCIAL GROUP, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: SECURITIES DBA POSITION/TITLE/RELATIONSHIP: PART OWNER AND REGISTERED REPRESENTATIVE START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES 3) STEPHEN DZUREC OBA 4) NAME OF OTHER BUSINESS: GPS FINANCIAL GROUP, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: SECURITIES DBA POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES 5) NAME OF OTHER BUSINESS: COMMUNITY FOUNDATION OF LORAIN COUNTY.; INVESTMENT RELATED: NO; ADDRESS: 9080 LEAVITT ROAD ELYRIA, OH 44035; NATURE OF BUSINESS: NON PROFIT; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: LIAISON; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DONER GROUP OF ALUMNI AND FACULTY, LIAISON BETWEEN FOUNDATION AND DONORS;

Exams

• S66 Uniform Combined State Law Examination
  2004-04-02
• S63 Uniform Securities Agent State Law Examination
  2001-06-04

Other Names

• Jim Smola