GS
Gary A. Smith
CETERA INVESTMENT ADVISERS LLC
OCEANSIDE, NY 11572
Some features on this profile are disabled
CRD#: 1852366
GS
Professional summary
Gary Aben Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oceanside, New York and CETERA WEALTH SERVICES, LLC located in Bayside, New York.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Gary has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
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) HORIZON FINANCIAL SERVICES -INCOME TAX PREPARATION - 20 SECURITIES TRADING HOURS WEEKLY, START DATE 5 NON SECURITIES TRADING HOURS WEEKLY, START DATE 1/1990 (2) NAME OF OTHER BUSINESS: GEMS 2003 LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: OFFICE RENTAL START DATE: 2/2017 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: CO-OWNER BRIEF DESCRIPTION OF DUTIES: MAINTAIN PROPERTY (3) NAME OF OTHER BUSINESS: HORIZON FINANCIAL SERVICES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 08/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL CONSULTANT APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES:ADVICE INVESTMENTS AND INVESTMENT STRATEGIES ; (4) NAME OF OTHER BUSINESS: HORIZON FINANCIAL PLANNERS ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 08/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER / FINANCIAL CONSULTANT; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES:ADVICE ON INVESTMENTS AND INVESTMENT STRATEGIES ; (5) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 6/2021; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE;
CRS (Client Relationship Summary) - RIA
Click below to view Gary Aben 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 310 Woods Ave, Oceanside, NY 11572RIA
CRD#: 105644
OCEANSIDE, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 212-45 26th Ave Ste 5, Bayside, NY 11360Office #2: 310 Woods Ave, Oceanside, NY 11572BD
CRD#: 13572
Bayside, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
August 1, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
OCEANSIDE, NY
Past
November 27, 1995 - July 23, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
OCEANSIDE, NY
Past
November 27, 1995 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
January 3, 1995 - November 22, 1995
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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
Arizona(2/12/2020)
RR
California(2/12/2020)
RR
Colorado(2/12/2020)
RR
Connecticut(9/3/2013)
RR
Delaware(2/12/2020)
RR
Florida(9/3/2013)
RR
Georgia(5/23/2025)
RR
Illinois(2/12/2020)
RR
Maine(2/12/2020)
RR
Maryland(5/23/2025)
RR
Massachusetts(9/9/2016)
RR
Missouri(11/2/2018)
RR
Nebraska(6/21/2019)
RR
Nevada(2/12/2020)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
RR
North Carolina(9/3/2013)
RR
Pennsylvania(1/8/2016)
RR
South Carolina(1/12/2015)
RR
Texas(2/12/2020)
IAR
Texas(6/29/2023)
RR
Virginia(9/9/2016)
RR
Wisconsin(5/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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.
