Richard 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

• 11/2006 → 04/2022
  First Financial Equity Corporation
  Scottsdale, AZ
• 10/2018 → 02/2022
  United States Marshals Posse
  Phoenix, AZ
• 04/2022 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 05/2023 → Present
  Pine Creek Financial, Pllc
  Peoria, AZ

Previous Registrations

• 2006-11-20 → 2022-04-20
  Ffec Wealth Partners Llc
  Scottsdale, AZ
  Scottsdale, AZ

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 11/1993 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 3 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: RICHARD SMITH INVESTMENT RELATED: YES ADDRESS: PHOENIX, AZ NATURE OF BUSINESS: RENTAL PROPERTY START DATE: 01/2010 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES 3. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 04/2022 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: OFFER FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: KIERLAND FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 03/2022. POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5. NAME OF OTHER BUSINESS: PINE CREEK FINANCIAL, PLLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: TAX SHELTER, START DATE: 05/2023, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN 1 HOUR PER WEEK, MAY BE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: S CORP FOR EXPENSE MANAGEMENT

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-02-23
• S63 Uniform Securities Agent State Law Examination
  1993-11-23

Other Names

• Richard Smith
• Rick Smith