Kuumba 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

• 12/2012 → 10/2019
  1St Global Capital Corp
  Dallas, TX
• 12/2012 → 10/2019
  1St Global Advisors Inc
  Dallas, TX
• 12/2012 → 09/2025
  Avantax Insurance Services, Inc.
  Dallas, TX
• 10/2019 → 09/2025
  Avantax Advisory Services
  Dallas, TX
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Dallas, TX
• 08/2024 → Present
  Cetera Investment Services Llc
  Saint Cloud, MN
• 08/2024 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 08/2024 → Present
  Cetera Advisors Llc
  Greenwood Village, CO
• 08/2024 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Dallas, TX
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 10/2019 → Present
  Smittox Breing Co, Llc
  Dallas, TX

Previous Registrations

• 2019-10-25 → 2025-09-05
  Avantax Advisory Services
  Dallas, TX
  Allen, TX
  Dallas, TX
• 2013-01-01 → 2019-10-25
  1St Global Advisors Inc
  Dallas, TX

Other Businesses

1). NAME OF OTHER BUSINESS: SMITTOX BREWING CO. LLC; INVESTMENT RELATED: NO ADDRESS: 930 E CLARENDO DR, DALLAS, TX 75203; NATURE OF BUSINESS: CRAFTBEER AND APPAREL; START DATE: 10/01/2019; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 20-24; APX NUMBER OF HOURS DURING TRADING HOURS:0; BRIEF DESCRIPTION OF DUTIES: BEER PRODUCTION AND BRAND MERCHANDISING;

Exams

• S66 Uniform Combined State Law Examination
  2012-12-31
• S63 Uniform Securities Agent State Law Examination
  2006-08-25

Other Names

• Kuumba U Smith