Roger L. Smith

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CRD#: 1643348

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.

Roger Lee Smith was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1987. Roger had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

NAME OF ENTITY:R Lee Smith LLC; Yes; 1205 W FLOYD BAKER BLVD STE 1A; GAFFNEY; SC; 29341; Annuity, Life and Health Insurance; President; 2/1/2009; 60; 60; All sales & Service|NAME OF ENTITY:SOUTH CAROLINA NOTARY PUBLIC; No; 382 TWIN BRIDGE RD; GAFFNEY; SC; 29341; NOTARY; NOTARY PUBLIC; 5/1/2013; 1; 1; NOTARIZING DOCUMENTS|NAME OF ENTITY:Grassy Pond Water Co.; No; 1608 TWIN BRIDGE RD.; GAFFREY; SC; 29341; Local Water Company; VP of Board; 1/1/2006; 8; 0; Attend board meetings once per month. No check writing.|

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 29, 2023 - September 18, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Gaffney, SC

Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Gaffney, SC

Past

June 9, 2021 - September 18, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Gaffney, SC

Past

June 13, 2017 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Gaffney, SC

Past

May 27, 2011 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Gaffney, SC

Past

January 4, 1999 - May 31, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GAFFNEY, SC

Past

September 27, 1988 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

April 29, 1987 - October 5, 1988

INVEST FINANCIAL CORPORATION

CRD#: 12984

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".

CETERA INVESTMENT ADVISERS LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/6/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/6/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/2001

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Roger L. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/6/2017

Series 63

Date: 5/6/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/25/1987

Series 24

Date: 6/7/2001

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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