MS
Matthew C. Smith
CETERA INVESTMENT ADVISERS LLC
HOLLAND, OH 43528
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CRD#: 2399310
MS
Professional summary
Matthew Clay Smith, AIF®, who also goes by Matt Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Holland, Ohio and CETERA WEALTH SERVICES, LLC located in Holland, Ohio.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Matthew has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt 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) Midland National Life General Agency 7359 International Drive, Suite A Holland OH 43528 Insurance Agent 1/1/1997 10hrs~10hrs The duties include the services of policy support. These include beneficiary changes, premium changes, conversions, and other service support. Majority of time on this activity includes policies in the clients overall financial plan. 2) Bowling Green Curling, INC 19901 N. Dixie Highway, Unit C Bowling Green OH 43402 Other 7/23/2012 10hrs~0hrs I am an appointed Board Member who overseas the treasury of the club. I monitor account activity to include invoices and payments. 3) IDP II, LLC 7359 International Drive, Suite A, Holland OH 43528 Rental Property Other 7/16/2007 4hrs~0hrs I am the on-site member/owner who is also responsible for record keeping and tracking lease payments. Manage bank account and account reconciliation. 4) Robert S. Rogers High School Athletic Hall of Fame 222 McTigue Drive Toledo OH 43615 Board Position/Officer Other 11/27/2006 4hrs~0hrs I am responsible for acquiring and reviewing nominations for the Athletic Hall of Fame. I work with the Athletic Director on scheduling events and planning the ceremony. I am a member of the voting board. 5) S&S Restaurants, LLC 5758 N. Main Street, Unit 6 Sylvania OH 43560 Other 8/29/2011 8hrs~0hrs I am in charge of the checkbook and payroll processing. This includes all tax filings (FICA, State Unemployment, Workers Comp, etc). Also responsible for account reconciliation. 6) MAKING INVESTING PERSONAL POSITION: Financial Advisor NATURE: DBA for Marketing Purposes INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/03/2020 ADDRESS: 7359 International Drive, Suite A, Holland OH 43528, United States DESCRIPTION: Financial Advisor - DBA 7) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: 7359 International Drive, Suite A, Holland OH 43528; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 11/01/2020; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 8) MIDLAND NATIONAL LIFE ANNUITIES POSITION: Agent/Financial Professional NATURE: Servicing existing clients through Midland National Life Insurance company, which were originally purchased by me at my prior broker-dealer. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2020 ADDRESS: 7359 INTERNATIONAL DRIVE, SUITE A, Holland, Ohio OH 43528, DESCRIPTION: Overseeing prior annuities, reviewing annuity contracts, and updating investment preferences on the annuities. 9) POWER OF ATTORNEY (FOR MY MOTHER) POSITION: POA NATURE: My sister and I are to be listed as POA on my mother's accounts. My sister is a non-registered Person. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2025 ADDRESS: 7359 International Dr, Suite A, Holland OH 43528, United States DESCRIPTION: Help with writing checks. Able to contact credit card companies and utilities carriers. Sell assets if need be to sustain eventual nursing home care.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Clay 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®
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7359 International Drive, Suite A, Holland, OH 43528RIA
CRD#: 105644
HOLLAND, OH
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7359 International Drive Suite A, Holland, OH 43528BD
CRD#: 13572
Holland, OH
Past
August 3, 2020 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Holland, OH
Past
August 2, 2020 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Holland, OH
Past
February 9, 2002 - August 3, 2020
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
HOLLAND, OH
Past
February 5, 2002 - August 3, 2020
SPC
RIA
CRD#: 110692
HOLLAND, OH
Past
June 1, 1996 - February 9, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
March 3, 1995 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
BD
CRD#: 624
SIOUX FALLS, SD
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
California(9/5/2025)
RR
Florida(9/5/2025)
RR
Indiana(9/5/2025)
RR
Michigan(9/5/2025)
RR
Mississippi(9/18/2025)
RR
Nevada(9/18/2025)
RR
North Carolina(9/18/2025)
RR
Ohio(9/5/2025)
IAR
Ohio(9/5/2025)
RR
Oklahoma(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
South Carolina(9/18/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
West Virginia(9/5/2025)
RR
Wisconsin(9/18/2025)
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Holland, OH 43528TRUST BUT VERIFY
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