David C. Smith
CETERA INVESTMENT ADVISERS LLC
MEDFORD, OR 97504
Some features on this profile are disabled
CRD#: 1370586
Professional summary
David Carl Smith, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Medford, Oregon and CETERA WEALTH SERVICES, LLC located in Medford, Oregon.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. David has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
What are your service offerings?
Tax Planning
Investment Planning
Comprehensive Financial Planni...
Budgeting
Education Planning
Business Succession Planning
Retirement Planning
Employee and Employer Plan Ben...
Insurance Planning
Estate Planning
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 5/2021 APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY & ANNUITIES 2.NAME OF OTHER BUSINESS: INVESTMENT & INSURANCE SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 1998 POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: OFFICE CONDO BUILDING START DATE: 2011 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: RENTAL OFFICE SPACE TO OPERATE BUSINESS 4. NAME OF OTHER BUSINESS: PENNINGTON SQUARE ASSN; INVESTMENT RELATED: NO; ADDRESS: 708-728 CARDLEY AVE, MEDFORD, OR 97504; NATURE OF BUSINESS: CONDO OFFICE COMPLEX ASSN; START DATE: 12/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT OF THE BOARD; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: BOARD MEETING OVER SIGHT AND OF PROPERTY MAINTENANCE FOR BUILDING AND GROUND; 5. NAME OF OTHER BUSINESS: D9 FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 11N ROYAL AVE EAGLE POINT OR, 97524; NATURE OF BUSINESS: NON PROFIT; START DATE: 7/2021; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL ASSISTANCE TO STUDENTS FOR EDUCATION AND ACTIVITIES; 6. NAME OF OTHER BUSINESS: D9 FOUNDATION, INVESTMENT RELATED: NO, ADDRESS: 11 N ROYAL STREET, EAGLE POINT, OR 97524, NATURE OF BUSINESS: NON-PROFIT, START DATE:08/2024, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RUN BOARD MEETINGS IN THE EVENT THE PRESIDENT IS NOT AVAILABLE; 7. NAME OF OTHER BUSINESS: LEAR WAY PLAZA, LLC; INVESTMENT RELATED: NO; ADDRESS: 3824 LEAR WAY MEDFORD, OR 97504; NATURE OF BUSINESS: LAND HOLDING; START DATE: 01/10/1996; POSITION/TITLE/RELATIONSHIP: PART OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PAY BILLS AND WORK WITH PARTNER TO GET PROPERTY READY TO MARKET, MAINTAIN CITY REQUIREMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view David Carl 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®
CFP®
Start date: 1988
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 716 Cardley Ave, Medford, OR 97504RIA
CRD#: 105644
MEDFORD, OR
Current
May 31, 1985 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 716 Cardley Ave, Medford, OR 97504BD
CRD#: 13572
Medford, OR
Past
June 26, 2002 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MEDFORD, OR
Past
May 16, 1985 - June 28, 1985
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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
Alaska(3/14/2001)
RR
Arizona(1/2/2004)
RR
California(9/25/1985)
RR
Connecticut(11/27/2015)
RR
Florida(6/27/2018)
RR
Idaho(1/4/2021)
RR
Kentucky(7/7/2006)
RR
Nevada(3/29/2004)
RR
North Carolina(7/25/2024)
RR
Oregon(5/31/1985)
IAR
Oregon(6/29/2023)
RR
Texas(2/20/2024)
IAR
Texas(2/20/2024)
RR
Washington(4/8/1998)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
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#: 105644Medford, OR 97504TRUST BUT VERIFY
Monitor David Smith
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
