TS
Thomas L. Smith
CETERA INVESTMENT ADVISERS LLC
GADSDEN, AL 35901
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CRD#: 2256674
TS
Professional summary
Thomas Lamar Smith, CFP®, who also goes by Lamar Smith, Thomas Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Gadsden, Alabama and CETERA WEALTH SERVICES, LLC located in Gadsden, Alabama.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lamar Smith | Thomas 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) L&S Properties, LLC~'NIR'~414 S 4th Street~Gadsden~AL~35901~Rental Property Owner/Management~Partner/General Partner~12/7/2009~1hrs~0hrs~Managing Member Family LLC that owns farmland in Cherokee County Alabama rented to farmer on a flat rent per acre arrangement 2) Lamar Smith, Landlord~'NIR'~414 South 4th Street~Gadsden~AL~35901~Rental Property Owner/Management~Owner/Sole Proprietor~1/1/2010~1hrs~0hrs~Residential real estate rental 3) T. Lamar Smith~'NIR'~414 S 4th Street~Gadsden~AL~35901~Tax Preparation/Accounting~Tax Preparation/Accounting~12/7/2009~20hrs~16hrs~Prepare personal Form 1040 and state income tax returns 4) KIWANIS SECRETARY/TREASURER POSITION: Secretary/Treasurer NATURE: Civic Club Secretary and Treasurer. Maintain member roster, meeting attendance, bill member dues, collect member dues and deposit to club checking account. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/10/2023 ADDRESS: 414 South 4th Street, Gadsden AL 35901, United States DESCRIPTION: Civic Club Secretary and Treasurer. Maintain member roster, meeting attendance, bill member dues, collect member dues and deposit to club checking account. 5)T. LAMAR SMITH, CFP D/B/A S&S FINANCIAL POSITION: Tax Preparation/Financial Services NATURE: Tax Preparation/Financial Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 12/07/2009 ADDRESS: 414 S 4th Street, Gadsden AL 35901, United States DESCRIPTION: Prepare personal Form 1040 and state income tax returns & financial services 6) KIWANIS SECRETARY/TREASURER POSITION: Secretary/Treasurer NATURE: Civic Club Secretary and Treasurer. Maintain member roster, meeting attendance, bill member dues, collect member dues and deposit to club checking account. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/10/2023 ADDRESS: 414 South 4th Street, Gadsden AL 35901, United States DESCRIPTION: Civic Club Secretary and Treasurer. Maintain member roster, meeting attendance, bill member dues, collect member dues and deposit to club checking account.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Lamar 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®
CFP®
Start date: 1988
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 414 South 4th St., Gadsden, AL 35901RIA
CRD#: 105644
GADSDEN, AL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 414 South 4th Street, Gadsden, AL 35901BD
CRD#: 13572
GADSDEN, AL
Past
October 25, 1993 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
GADSDEN, AL
Past
March 5, 1993 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
GADSDEN, AL
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
Alabama(9/5/2025)
IAR
Alabama(9/5/2025)
RR
Georgia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product 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
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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.
