Paul J. Smith

CETERA INVESTMENT ADVISERS LLC

OAKWOOD HILLS, IL

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CRD#: 2175854

Professional summary

Paul Joseph Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oakwood Hills, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Oakwood Hills, Illinois.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Paul has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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) NOTARY PUBLIC, NOT INVESTMENT RELATED, ADDRESS, ACT AS NOTARY PUBLIC, SINCE 01/2000, 3-4 TIMES PER YEAR. 2) SMITH & ASSOCIATES INC INSURANCE SERVICES, NOT INVESTMENT RELATED, ADDRESS, DBA FOR FIXED INSURANCE BUSINESS, 50% OWNER, SALES OF FIXED INSURANCE, HEALTH INSURANCE, PROPERTY AND CASUALTY, COMMERCIAL INSURANCE, SINCE 03/2006, 25H/WEEK, 3)SMITH AND ASSOCIATES INC. FINANCIAL SERVICES , INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 03/2019, REGISTERED REPRESENTATIVE, APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Joseph 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

October 30, 2018 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

OAKWOOD HILLS, IL

Current

October 29, 2018 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

OAKWOOD HILLS, IL

Past

March 23, 2012 - October 31, 2018

FORESTERS EQUITY SERVICES, INC.

RIA

CRD#: 18464

CARY, IL

Past

March 22, 2012 - October 31, 2018

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

CARY, IL

Past

February 18, 2003 - March 22, 2012

OSAIC FS, INC.

RIA

CRD#: 3870

CARY, IL

Past

July 8, 2000 - March 22, 2012

OSAIC FS, INC.

CRD#: 3870

CARY, IL

Past

September 1, 1999 - February 26, 2003

POLARIS ADVISORY SERVICES INC

RIA

CRD#: 109435

CARY , IL

Past

February 6, 1996 - July 8, 2000

POLARIS FINANCIAL SERVICES, INC.

CRD#: 14521

CONCORD, NH

Past

December 4, 1991 - January 6, 1996

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 4, 1991 - January 6, 1996

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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
(10/30/2018)

Florida
(10/31/2018)

Georgia
(8/23/2019)

Illinois
(10/30/2018)

IAR

Illinois
(10/30/2018)

Iowa
(7/27/2021)

New York
(10/30/2018)

Oklahoma
(6/15/2020)

Tennessee
(7/28/2023)

Utah
(10/30/2018)

Virginia
(11/16/2022)

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

IAR

Series 65

Date: 7/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/2/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/1/2001

Investment Company Products/Variable Contracts 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

Paul J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Joseph Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

FORESTERS EQUITY SERVICES, INC.

FORESTERS EQUITY SERVICES, INC.

OSAIC FS, INC.

OSAIC FS, INC.

POLARIS ADVISORY SERVICES INC

POLARIS FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/1999

Series 63

Date: 1/29/1992

SIE

Date: 10/1/2018

Series 6

Date: 12/2/1991

Series 26

Date: 9/1/2001

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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