JS
James A. Smith
CETERA INVESTMENT ADVISERS LLC
IOWA CITY, IA 52240
Some features on this profile are disabled
CRD#: 1042591
JS
Professional summary
James Andrew Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Iowa City, Iowa and CETERA WEALTH SERVICES, LLC located in Iowa City, Iowa.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. James has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) PIPAC~'NIR'~1521 Technology Pky, P O Box 729~Cedar Falls~IA~50613~Independent Insurance Agent~Insurance Sales Agent~1/14/1998~1hrs~0hrs~sales of Health Ins with Blue Cross Blue Shield,Life Ins and Fixed Annuities NOT offered by HDVEST 2) Smith Accounting Service~'NIR'~1700 S 1st Ave, Eastdale Plaza Unit 4~Iowa City~IA~52240~Tax Preparation/Accounting~Tax Preparation/Accounting~1/1/1977~100hrs~100hrs~Tax Prep and suppervision|Smith Financial Services~'NIR'~1700 1st Ave., Eastdale Plaza #4~Iowa City~IA~52240~Other~Other~1/1/1999~30hrs~5hrs~Operational and/or Martkeing Name for HD Vest Services 3) JIM SMITH INC DBA SMITH ACCOUNTING SERVICE POSITION: Tax Preparation/Accounting NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 60 START DATE: 01/01/1977 ADDRESS: 1700 S 1st Ave, Eastdale Plaza Unit 4, Iowa City IA 52240, United States DESCRIPTION: Tax Prep and supervision 4) Smith Financial Services; Other; Other; NIR; 5; 01/01/1999; 1700 1st Ave., Eastdale Plaza #4 Iowa City IA 52240; Operational and/or Martkeing Name for Avantax Services 5) STEWARDS PLANNING GROUP POSITION: Financial Advisor NATURE: Financial Planning Firm INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 08/01/2025 ADDRESS: 1700 1st Ave, Eastdale Plaza #4, Iowa City IA 52240, United States DESCRIPTION: Financial Advisor. Meet with Clients Review accounts Collect Data Service Clients
CRS (Client Relationship Summary) - RIA
Click below to view James Andrew Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 700 1st Ave. Eastdale Plaza #4, Iowa City, IA 52240RIA
CRD#: 105644
IOWA CITY, IA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1700 1st Ave Eastdale Plaza #4, Iowa City, IA 52240BD
CRD#: 13572
Iowa City, IA
Past
January 1, 1999 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
IOWA CITY, IA
Past
November 23, 1994 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Iowa City, IA
Past
May 18, 1982 - December 27, 1983
N.I.S. FINANCIAL SERVICES, INC.
BD
CRD#: 5361
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
Florida(9/5/2025)
RR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Iowa(9/5/2025)
IAR
Iowa(9/5/2025)
RR
Kansas(9/5/2025)
RR
Missouri(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oregon(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Wisconsin(11/7/2025)
RR
Wyoming(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Iowa City, IA 52240TRUST BUT VERIFY
Monitor James Smith
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
