Carla Maria Romero 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

• 10/1994 → Present
  Chase Manhattan Bank
  New York, NY
• 12/1998 → Present
  Chase Investment Services Corp.
  New York, NY
• 10/2001 → 09/2025
  Avantax Investment Services, Inc.
  North Baldwin, NY
• 08/2009 → 09/2025
  Avantax Advisory Services
  North Baldwin, NY
• 06/2019 → 09/2025
  Avantax Insurance Agency, Llc
  North Baldwin, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  North Baldwin, NY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2021-08-25 → 2025-09-05
  Avantax Advisory Services
  North Baldwin, NY

Other Businesses

1)Fiduciary Appointment-Trustee~'NIR'~1520 Paul Street~North Baldwin~NY~11510~6/25/2014~10hrs~2hrs~Responsible for payment of all financial obligations & maintaining investments. Work with court examiner and an attorney to ensure all required court reporting and accounting are submitted in a timely manner|RomeroSmith Solutions~'NIR'~1520 Paul Street~North Baldwin~NY~11510~Tax Preparation/Accounting~Owner/Sole Proprietor~8/18/2015~25hrs~8hrs~Tax preparation and management of company|Avantax Insurance Agency and/or Avantax Insurance Services~'NIR'~3200 Olympus Blvd., Suite 100~Dallas~TX~75019~Equity Indexed Annuity~Agent~6/13/2019~15hrs~12hrs~I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL).| 2)Joel Allen Supplemental Needs Trust; Trustee; Fiduciary Appointment; NIR; 2; 06/25/2014; 1520 Paul Street North Baldwin NY 11510; Responsible for payment of all financial obligations & maintaining investments. Work with court examiner and an attorney to ensure all required court reporting and accounting are submitted in a timely manner

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-04-15

Other Names

• Carla Maria Romero-Smith
• Carla Maria Romerosmith