JS
James S. Smola
CETERA INVESTMENT ADVISERS LLC
AVON, OH 44011
Some features on this profile are disabled
CRD#: 2305825
JS
Professional summary
James Steven Smola, who also goes by Jim Smola, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Avon, Ohio and CETERA WEALTH SERVICES, LLC located in Avon, Ohio.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Smola
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) NAME OF OTHER BUSINESS: VARIOUS COMPANIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: OFFERS FIXED LIFE, ANNUITIES AND LTC; 2) NAME OF OTHER BUSINESS: GPS FINANCIAL GROUP, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: SECURITIES DBA POSITION/TITLE/RELATIONSHIP: PART OWNER AND REGISTERED REPRESENTATIVE START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES 3) STEPHEN DZUREC OBA 4) NAME OF OTHER BUSINESS: GPS FINANCIAL GROUP, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED BRANCH NATURE OF BUSINESS: SECURITIES DBA POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE START DATE: N/A APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES 5) NAME OF OTHER BUSINESS: COMMUNITY FOUNDATION OF LORAIN COUNTY.; INVESTMENT RELATED: NO; ADDRESS: 9080 LEAVITT ROAD ELYRIA, OH 44035; NATURE OF BUSINESS: NON PROFIT; START DATE: 09/2023; POSITION/TITLE/RELATIONSHIP: LIAISON; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: DONER GROUP OF ALUMNI AND FACULTY, LIAISON BETWEEN FOUNDATION AND DONORS;
CRS (Client Relationship Summary) - RIA
Click below to view James Steven Smola'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: 37307 Harvest Dr, Avon, OH 44011RIA
CRD#: 105644
AVON, OH
Current
March 5, 2012 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 37307 Harvest Dr, Avon, OH 44011BD
CRD#: 13572
Avon, OH
Past
March 5, 2012 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
September 10, 2004 - March 7, 2012
OSAIC WEALTH, INC.
RIA
CRD#: 23131
AVON, OH
Past
January 4, 1994 - March 7, 2012
OSAIC WEALTH, INC.
BD
CRD#: 23131
AVON, OH
Past
February 8, 1993 - February 16, 1993
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 8, 1993 - February 16, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Florida(3/5/2012)
RR
Georgia(3/5/2012)
RR
Illinois(9/10/2021)
RR
Kansas(1/7/2020)
RR
Kentucky(2/25/2025)
RR
Michigan(3/5/2012)
RR
Minnesota(3/5/2012)
RR
New York(5/31/2022)
RR
Ohio(3/5/2012)
IAR
Ohio(6/29/2023)
RR
South Carolina(3/5/2012)
RR
Texas(5/9/2012)
IAR
Texas(6/29/2023)
RR
Wisconsin(1/5/2024)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Avon, OH 44011TRUST BUT VERIFY
Monitor James Smola
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
