Leslie C. Smith

CETERA INVESTMENT ADVISERS LLC

SYRACUSE, NY 13202

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CRD#: 1803943

Professional summary

Leslie Charles Smith, who also goes by Les Smith Jr, Leslie Charles Smith Jr, Leslie Charles Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Syracuse, New York and CETERA WEALTH SERVICES, LLC located in Syracuse, New York.

Leslie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Leslie has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Les Smith Jr | Leslie Charles Smith Jr | Leslie Charles Smith

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) AVALON POSITION: Fulfillment NATURE: Company provides printing services to the Legal and Medical Field. Also provides Cyber Security and document management services. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 20 START DATE: 12/19/2022 ADDRESS: 901 North State Street, St. 301, Syracuse NY 13208, United States DESCRIPTION: Role includes processing legal and medical records by request for subsequent delivery. It is not a sales position and does not require contact with individuals in any commercial/personal capacity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Charles Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 421 S. Warren Street St 301, Syracuse, NY 13202

RIA

CRD#: 105644

SYRACUSE, NY

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 421 S. Warren Street St. 201, Syracuse, NY 13202

CRD#: 13572

Syracuse, NY

Past

August 28, 2021 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

SYRACUSE, NY

Past

June 20, 2017 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Syracuse, NY

Past

May 19, 2004 - June 8, 2017

CADARET, GRANT & CO., INC.

CRD#: 10641

CANASTOTA, NY

Past

January 16, 1998 - May 24, 2004

FIRST SECURITY INVESTMENTS, INC.

CRD#: 24035

KINGSTON, PA

Past

January 27, 1994 - June 17, 1997

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

January 26, 1993 - September 27, 1993

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

May 15, 1991 - December 21, 1992

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

August 23, 1988 - February 1, 1989

INVESTORS CENTER, INC.

CRD#: 14670

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(9/5/2025)

Florida
(9/5/2025)

New York
(9/5/2025)

IAR

New York
(9/5/2025)

North Carolina
(9/5/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/3/1993

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: 8/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/1998

General Securities Principal Examination

SRO Registrations

FINRA

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

Leslie C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Charles Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CADARET, GRANT & CO., INC.

FIRST SECURITY INVESTMENTS, INC.

CADARET, GRANT & CO., INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CHATFIELD DEAN & CO., INC.

INVESTORS CENTER, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/3/1993

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1988

Series 24

Date: 5/18/1998

FINRA

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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