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Brian Paul Smith

Cetera Investment Advisers LLC

Bradenton, FL

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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-08-04
  • FL RA
    APPROVED
    Since 2022-08-04

Branch Locations

4770 State Road 64 East, Bradenton, FL 34208 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Brokerage Services Llc Sarasota FL 01/2013 11/2019
Fidelity Personal And Workplace Advisors Boston MA 07/2018 11/2019
Unemployed Bradenton FL 11/2019 03/2020
Hancock Whitney Bank Bradenton FL 03/2020 Present
Hancock Whitney Investment Services, Inc. Bradenton FL 03/2020 08/2022
Cetera Investment Services Llc Saint Cloud MN 08/2022 Present
Cetera Investment Advisers Llc Bradenton FL 08/2022 Present
  • 01/2013 → 11/2019
    Fidelity Brokerage Services Llc
    Sarasota, FL
  • 07/2018 → 11/2019
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 11/2019 → 03/2020
    Unemployed
    Bradenton, FL
  • 03/2020 → Present
    Hancock Whitney Bank
    Bradenton, FL
  • 03/2020 → 08/2022
    Hancock Whitney Investment Services, Inc.
    Bradenton, FL
  • 08/2022 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 08/2022 → Present
    Cetera Investment Advisers Llc
    Bradenton, FL
Previous Registrations
  • 2020-03-20 → 2022-08-10
    Hancock Whitney Investment Services Inc.
    Bradenton, FL
    New Orleans, LA
    Bradenton, FL
  • 2018-07-13 → 2019-11-29
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2013-03-21 → 2018-07-13
    Strategic Advisers Llc
    Sarasota, FL
    Sarasota, FL
  • 2006-06-12 → 2013-01-10
    Truist Investment Services, Inc.
    Sarasota, FL
    Sarasota, FL
    Sarasota, FL
    Sarasota, FL
    Sarasota, FL
    Sarasota, FL
    Sarasota, FL
  • 2000-10-01 → 2006-05-30
    Wells Fargo Clearing Services, Llc
    Sarasota, FL
    Venice, FL
Other Businesses

1. WEALTH ADVISOR AT HANCOCK WHITNEY; PROVIDE FINANCIAL PLANNING AND WILL THEN REFER TO THE APPROPRIATE SPECIALISTS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-08-14
S63 Uniform Securities Agent State Law Examination 1994-06-23
  • S65 Uniform Investment Adviser Law Examination
    2006-08-14
  • S63 Uniform Securities Agent State Law Examination
    1994-06-23

View on SEC IAPD

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Thomas Herman Breiter
Alexander Chadsey Gault
Andrew M Gipson
Wesley Chadwick Choate
James Forrest Morrison
DANIEL ROBERT CHAPPIE
BRIAN SCOTT MILLER

Other Offices

PENINSULA ASSET MANAGEMENT INC · BRADENTON, FL
EDWARD JONES · Bradenton, FL
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · BRADENTON, FL
LEVEL FOUR ADVISORY SERVICES · Bradenton, FL
EDWARD JONES · BRADENTON, FL
PENINSULA ASSET MANAGEMENT INC · BRADENTON, FL
AMERIPRISE FINANCIAL SERVICES, LLC · Bradenton, FL
PULLEN INVESTMENT MANAGEMENT · BRADENTON, FL

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