Sheila E. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sheila Elaine Smith, CFP®, who also goes by Sheila Smith, was a registered financial professional .
Sheila is a previously registered financial professional and started their career in finance in 1986. Sheila had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2000
Experience
June 29, 2023 - June 30, 2023
CETERA INVESTMENT ADVISERS LLC
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 9, 2021 - June 30, 2023
CETERA WEALTH SERVICES, LLC
January 13, 2006 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
December 5, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
June 16, 2005 - December 2, 2005
INVESTORS CAPITAL CORP.
January 7, 2003 - June 16, 2005
EASTERN POINT ADVISORS INC.
January 3, 2003 - December 2, 2005
INVESTORS CAPITAL CORP.
March 2, 2002 - December 31, 2002
COMMONWEALTH FINANCIAL NETWORK
January 25, 2002 - December 31, 2002
COMMONWEALTH FINANCIAL NETWORK
December 14, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
December 14, 2001 - January 29, 2002
VALIC FINANCIAL ADVISORS, INC.
August 28, 2000 - December 14, 2001
LPL FINANCIAL LLC
November 18, 1997 - September 8, 2000
VALIC FINANCIAL ADVISORS, INC.
October 31, 1986 - September 8, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
