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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MO | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Smith Financial Group | Clayton | MO | 01/1995 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2013 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 1995, 18HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. SMITH FINANCIAL GROUP, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 01/01/1995, 40HRS/WK (32.5 TRADING HOURS), SOLE PROPRIETOR, REGISTERED REPRESENTATIVE; 3. SMITH FINANCIAL GROUP PROFIT SHARING PLAN, NOT INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, PROFIT SHARING PLAN OF SOLE PROPRIETORSHIP, START 01/01/1995, <1HR/WK (NON-TRADING HOURS), PLAN ADMINISTRATOR/TRUSTEE;
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1980-07-22 |
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