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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-06-29 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pate & Smith Investment Group | Goldsboro | NC | 01/2005 | Present |
| Voya Financial Advisors | Goldsboro | NC | 09/2014 | 06/2021 |
| Cetera Wealth Services, Llc | El Segundo | CA | 06/2021 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
NAME OF ENTITY:PATE & SMITH INVESTMENT GROUP; Yes; 311 E WALNUT ST; GOLDSBORO; NC; 27530; DBA; OWNER; 10/1/2005; 160; 160; DBA FOR INSURANCE AND SECURITIES|NAME OF ENTITY: Independent Insurance Agent; Yes; 311 E WALNUT ST; GOLDSBORO; NC; 27530; Fixed insurance sales; Independent Insurance Agent; 4/19/2005; 32; 32; Sales of fixed insurance products.|NAME OF ENTITY:Smith Rentals; No; 216 Indian Creek RD; Seven Springs; NC; 28978; Rental Property; Owner; 1/1/2021; 10; 0; Rent, and maintain property|NAME OF ENTITY:E. Smith Rentals; No; 216 Indian Creek Rd Seven Springs,NC; Seven Springs; NC; 28578; RENTAL PROPERTY; Owner; 10/3/2020; 1; 0; Maintain property & Collect Rent|
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-01-03 |
| S63 | Uniform Securities Agent State Law Examination | 1982-02-19 |
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