Wendell Ray 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

• 02/1991 → Present
  Financial Planning Concepts, Inc.
  Wichita, KS
• 09/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2004-03-09 → 2013-09-03
  Tower Square Securities, Inc.
  Wichita, KS

Other Businesses

1)INDEPENDENT INSURANCE AGENT DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE FOR 43HRS/WK & 1HR EVENING & WKENDS SINCE 1991 2)NAME OF OTHER BUSINESS: DBA FINANCIAL PLANNING CONCEPTS, INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/1991 POSITION/TITLE/RELATIONSHIP: RR AND IAR APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVICE 3) NAME OF OTHER BUSINESS: WICHITA REGIONAL CHAMBER OF COMMERCE; INVESTMENT RELATED: NO; ADDRESS: 350 W DOUGLAS AVE, WICHITA, KS 67202; NATURE OF BUSINESS: CHAMBER OF COMMERCE; START DATE: 1992; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: PAY ANNUAL MEMBERSHIP DUES;

Exams

• S66 Uniform Combined State Law Examination
  2004-01-27
• S63 Uniform Securities Agent State Law Examination
  2001-08-30

Designations

• Chartered Financial Consultant