Richard Thomas 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

• 08/2003 → 09/2025
  Avantax Investment Services, Inc.
  Forney, TX
• 05/2016 → 09/2025
  Avantax Advisory Services
  Forney, TX
• 01/2000 → Present
  Smith Financial And Associates Pc
  Forney, TX
• 01/2020 → 09/2025
  Avantax Insurance Services, Llc
  Forney, TX
• 05/2019 → Present
  Rshm Llc
  Forney, TX
• 02/2020 → Present
  Richard Smith / Smith Financial & Associates Pc
  Forney, TX
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Forney, TX
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2016-05-05 → 2025-09-05
  Avantax Advisory Services
  Forney, TX
• 2009-10-19 → 2015-01-27
  Avantax Advisory Services
  Forney, TX
• 1997-11-17 → 2003-09-19
  Sunamerica Securities, Inc.
  Forney, TX

Other Businesses

1) Richard T Smith~'NIR'~411 north mcgraw~forney~TX~75126~Rental Property Owner/Management~Other~10/22/2003~5hrs~195hrs~rental property i own one residential property i rent 2) SOONER HOLDING COMPANY, LLC~'NIR'~411 NORTH MCGRAW~FORNEY~TX~75126~Rental Property Owner/Management~President~9/1/2011~4hrs~100hrs~RENTAL PROPERTY MANAGEMENT 3) Crusaders Baseball~'NIR'~411 N. McGraw~Forney~TX~75126~Nonprofit~Owner/Sole Proprietor~6/2/2016~20hrs~0hrs~Coach baseball, balance the books, co signer on checking account 4) SMITH FINANCIAL AND ASSOCIATES PC~'NIR'~411 NORTH MCGRAW~FORNEY~TX~75126~Tax Preparation/Accounting~President~1/1/2000~20hrs~100hrs~TAX PREPARATION 5) RSHM LLC~'NIR'~411 NORTH MCGRAW~FORNEY~TX~75126~Rental Property~Owner~5/1/2019~1hrs~1hrs~MANAGE PROPERTY IF NEEDED. 6) RICHARD SMITH / SMITH FINANCIAL & ASSOCIATES PC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 65 START DATE: 02/01/2020 ADDRESS: 411 NORTH MCGRAW, FORNEY TX 75126, United States DESCRIPTION: COLLECT RENT/PROPERTY MANAGER 7) SMITH FINANCIAL WEALTH ADVISORY SERVICES, LLC POSITION: MANAGING MEMBER/OWNER NATURE: FINANCIAL AND RETIREMENT PLANNING INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 05/02/2022 ADDRESS: 411 N McGraw, Forney TX 75126, United States DESCRIPTION: FINANCIAL AND RETIREMENT PLANNING 8)SMITH WEALTH MANAGEMENT POSITION: OWNER NATURE: I established a dba Smith Wealth Management under my LLC, Smith Financial Wealth Advisory Services, LLC. (is already approved) INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/10/2023 ADDRESS: 411 N McGraw, Forney TX 75126, United States DESCRIPTION: investment advisory

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-26
• S63 Uniform Securities Agent State Law Examination
  1995-02-02

Designations

• Certified Financial Planner

Other Names

• Rich Smith
• Ritchie Smith