Michael 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

• 07/2022 → 09/2025
  Avantax Advisory Services
  Mt. Arlington, NJ
• 07/2022 → 09/2025
  Avantax Investment Services Inc.
  Mt. Arlington, NJ
• 06/2009 → Present
  Nisivoccia Llp
  Mt. Arlington, NJ
• 01/2023 → Present
  Nisivoccia Wealth Advisors
  Mount Arlington, NJ
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Mount Arlington, NJ
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2022-09-16 → 2025-09-05
  Avantax Advisory Services
  Mt. Arlington, NJ

Other Businesses

1) JEFFERSON TOWNSHIP CHAMBER OF COMMERCE POSITION: Member NATURE: Group of businesses in Jefferson Township and surrounding towns that gather to network and develop relationships. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2019 ADDRESS: PO Box 64, Lake Hopatcong NJ 07849, United States DESCRIPTION: No duties or responsibilities outside of attending events. 2) NISIVOCCIA LLP POSITION: Principal NATURE: CPA firm that offers audit, accounting, and tax services to a wide variety of clients. INVESTMENT RELATED: No NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 06/22/2009 ADDRESS: 200 Valley Road Suite 300, Mount Arlington NJ 07856, United States DESCRIPTION: -Provide assurance and consulting services to non-profit organizations.-Provide assurance servicesfor employee benefit plans.-Preparation and review of Form 990 for non-profitorganizations.-Manage commercial auditdepartment and scheduling 3) NEW JERSEY SOCIETY OF CERTIFIED PUBLIC ACCOUNTANTS POSITION: Member NATURE: NJCPA represents the majority of New Jersey CPAs in public practice, business & industry, government and education andsupports its members through a variety of education, networking, leadership and volunteer initiatives. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2015 ADDRESS: 105 Eisenhower Parkway Suite 300, Roseland NJ 07068, United States DESCRIPTION: No duties or responsibilities. Annual membership fee is paid to be a member of the NJCPA. 4) AMERICAN INSTITUTE OF CERTIFIED PUBLIC ACCOUNTANTS POSITION: Member NATURE: Provides various resources to various aspects of the accounting profession. The AICPA offers tools such as continuing education, news articles, industry guidelines and standards, etc. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 100 Princeton South Suite 200, Ewing NJ 08628, United States DESCRIPTION: None. An annual membership fee is paid to be a member. 5) NISIVOCCIA WEALTH ADVISORS POSITION: Partner NATURE: This is the wealth management and financial planning entity used for investment-related brokerage and advisory client services. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 200 Valley Road, Suite 300, Mount Arlington NJ 07856, United States DESCRIPTION: Client oversight and developing new business

Exams

• S66 Uniform Combined State Law Examination
  2022-09-15