SS
Stanley J. Smith
CETERA INVESTMENT ADVISERS LLC
BOCA RATON, FL 33432
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CRD#: 1180473
SS
Professional summary
Stanley Joseph Smith JR, who also goes by Duke Smith, Stanely Joseph Smith, Stanley Joseph Smith, Stanley Jospeh Smith Jr, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boca Raton, Florida and CETERA WEALTH SERVICES, LLC located in Boca Raton, Florida.
Stanley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Stanley has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Duke Smith | Stanely Joseph Smith | Stanley Joseph Smith | Stanley Jospeh Smith Jr
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) STANLEY J. SMITH TRUST - PERSONAL TRUST - 20 BOSUN WAY, DELARY BEACH, FL 33483 - INITIAL MORTGAGES AND REFINANCING-PURCHASE BRIDGE LOANS ASSOCIATED WITH REAL ESTATE - 2 HRS A MONTH ZERO DURING TRADING - COMPENATION IS INTERST EARNED ON LOAN
CRS (Client Relationship Summary) - RIA
Click below to view Stanley Joseph Smith JR'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
April 7, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 225 Ne Mizner Blvd, Suite 550, Boca Raton, FL 33432RIA
CRD#: 105644
BOCA RATON, FL
Current
August 22, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 225 Ne Mizner Blvd, Suite 550, Boca Raton, FL 33432BD
CRD#: 13572
Boca Raton, FL
Past
March 12, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BOCA RATON, FL
Past
February 5, 2003 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
BOCA RATON, FL
Past
February 3, 2003 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
January 2, 2001 - February 18, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
BOCA RATON, FL
Past
January 2, 2001 - February 18, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
October 14, 1994 - January 2, 2001
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
October 21, 1991 - October 31, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
January 24, 1991 - October 30, 1991
JW GENESIS CLEARING CORP.
BD
CRD#: 6631
BOCA RATON, FL
Past
December 10, 1990 - January 22, 1991
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past
July 3, 1986 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
Past
September 23, 1983 - July 1, 1986
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
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
Alabama(9/20/2019)
RR
Alaska(9/20/2019)
RR
Arizona(9/20/2019)
RR
Arkansas(9/20/2019)
RR
California(9/20/2019)
RR
Colorado(9/20/2019)
RR
Connecticut(9/20/2019)
RR
Delaware(9/20/2019)
RR
District of Columbia(9/20/2019)
RR
Florida(9/9/2019)
IAR
Florida(4/7/2023)
RR
Georgia(9/20/2019)
RR
Idaho(9/20/2019)
RR
Illinois(9/20/2019)
RR
Indiana(9/20/2019)
RR
Iowa(9/20/2019)
RR
Kansas(9/20/2019)
RR
Kentucky(9/20/2019)
RR
Louisiana(9/20/2019)
RR
Maine(9/20/2019)
RR
Maryland(9/20/2019)
RR
Massachusetts(9/20/2019)
RR
Michigan(9/20/2019)
RR
Minnesota(9/20/2019)
RR
Mississippi(9/20/2019)
RR
Missouri(9/20/2019)
RR
Montana(9/20/2019)
RR
Nebraska(9/20/2019)
RR
Nevada(9/20/2019)
RR
New Hampshire(9/20/2019)
RR
New Jersey(9/20/2019)
RR
New Mexico(9/20/2019)
RR
New York(9/20/2019)
RR
North Carolina(9/20/2019)
RR
North Dakota(9/20/2019)
RR
Ohio(9/20/2019)
RR
Oklahoma(9/20/2019)
RR
Oregon(9/20/2019)
RR
Pennsylvania(9/20/2019)
RR
Rhode Island(9/20/2019)
RR
South Carolina(9/20/2019)
RR
South Dakota(9/20/2019)
RR
Tennessee(9/20/2019)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
RR
Utah(9/20/2019)
RR
Vermont(1/20/2022)
RR
Virginia(9/20/2019)
RR
Washington(9/20/2019)
RR
West Virginia(9/20/2019)
RR
Wisconsin(9/20/2019)
RR
Wyoming(9/20/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/13/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory 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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Boca Raton, FL 33432TRUST BUT VERIFY
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