Louis Mark Smalle

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

• 03/1994 → Present
  Profit Concepts
  Denver, CO
• 01/2013 → Present
  Cetera Advisors Llc
  El Segundo, CA
• 01/2018 → Present
  Profit Concepts
  Centennial, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2004-08-09 → 2008-11-12
  Profit Concepts
  Denver, CO
• 2000-12-14 → 2004-08-24
  Mutual Service Corporation
  Denver, CO

Other Businesses

1.NAME OF OTHER BUSINESS: PROFIT CONCEPTS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE SALES START DATE: 1/2018 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: INSURANCE SALES 2.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 1/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, HEALTH, ANNUITIES, AND LONG TERM CARE

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-04-26
• S63 Uniform Securities Agent State Law Examination
  1984-06-18