Kevin S. Smith
Professional summary
Kevin Scott Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dickson, Tennessee and CETERA WEALTH SERVICES, LLC located in Dickson, Tennessee.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Kevin has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Scott Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 110 Mathis Dr Ste 106, Dickson, TN 37055August 19, 2014 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 110 Mathis Dr Ste 106, Dickson, TN 37055February 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
June 17, 2003 - February 8, 2008
SIGNATOR INVESTORS, INC.
November 3, 2000 - June 10, 2003
NEW ENGLAND SECURITIES
February 22, 1995 - November 9, 2000
PRINCIPAL SECURITIES, INC.
January 6, 1994 - March 3, 1995
AMERISTAR CAPITAL MARKETS, INC.
November 16, 1990 - October 19, 1992
HOME LIFE INSURANCE COMPANY
November 16, 1990 - December 16, 1993
WS GRIFFITH SECURITIES, INC.
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
(2/26/2020)
(1/29/2015)
(2/23/2023)
(4/22/2015)
(2/23/2023)
(6/28/2021)
(2/23/2023)
(2/23/2023)
(2/23/2023)
(1/26/2015)
(6/28/2021)
(2/23/2023)
(2/23/2023)
(2/23/2023)
(10/29/2019)
(9/26/2022)
(2/23/2023)
(2/23/2023)
(2/23/2023)
(2/23/2023)
(1/26/2015)
(6/29/2023)
(2/23/2023)
(6/29/2023)
(2/26/2019)
(1/3/2023)
Exams
FINRA
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
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