Gustin D. Fox-smith
Professional summary
Gustin Deloran Fox-smith, AIF®, ChFC®, who also goes by Gustin Deloran Foxsmith, Gus Smith, Gustin Deloran Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Broomfield, Colorado and CETERA WEALTH SERVICES, LLC located in Westminster, Colorado.
Gustin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Gustin has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 51, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Gustin Deloran Fox-smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #3: 720 S Colorado Blvd North Tower 13th Floor Penthouse, Denver, CO, 80246Office #4: 8471 Turnpike Dr Ste 115, Westminster, CO 80031Office #5: 1635 Foxtrail Drive, Loveland, CO 80538Office #6: 200 Union Blvd Ste 200, Lakewood, CO 80228April 23, 1997 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8471 Turnpike Dr Ste 115, Westminster, CO 80031February 9, 2015 - September 16, 2016
HINDS FINANCIAL GROUP INC
June 21, 2001 - August 28, 2008
LIGHTHOUSE FINANCIAL LLC
January 1, 1999 - June 29, 2023
CETERA WEALTH SERVICES, LLC
January 24, 1995 - May 8, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 16, 1994 - December 31, 1994
FIRST ALLIED SECURITIES, INC.
September 30, 1993 - August 29, 1995
FIRST AFFILIATED SECURITIES
August 31, 1992 - September 28, 1993
SCHNEIDER 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
(1/3/2013)
(2/22/2011)
(7/23/2002)
(5/23/2017)
(1/2/2008)
(4/23/1997)
(6/29/2023)
(1/8/2016)
(1/8/2016)
(5/15/2014)
(6/10/2008)
(8/2/2011)
(1/12/2009)
(8/16/2010)
(1/2/2008)
(10/3/2014)
(1/2/2008)
(10/12/2015)
(9/21/2017)
(4/11/2013)
(7/10/2017)
(2/25/2014)
(8/14/2018)
(1/8/2016)
(3/15/2013)
(8/22/2011)
(1/2/2008)
(5/19/2010)
(8/23/2001)
(10/12/2010)
(2/27/2019)
(5/6/2009)
(1/2/2008)
(1/23/2009)
(4/22/2014)
(1/8/2016)
(7/22/2013)
(6/7/2010)
(1/2/2008)
(2/25/2009)
(7/26/2019)
(1/2/2008)
(4/30/2013)
(5/12/2021)
(1/2/2008)
(6/29/2023)
(1/11/2000)
(10/4/2012)
(1/2/2008)
(6/9/2021)
(7/14/2011)
(4/16/2012)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationFINRA
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
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.
