KS
Kevin W. Smith
CETERA INVESTMENT ADVISERS LLC
DUNEDIN, FL 34698
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CRD#: 2439038
KS
Professional summary
Kevin Wayne Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dunedin, Florida and CETERA ADVISORS LLC located in Dunedin, Florida.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kevin has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 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.) NAME OF OTHER BUSINESS: PATHWAY ASSOCIATES INC.; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TAX PREP AND ACCOUNTING; START DATE: 1/2023 POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: TAX PREP, ACCOUNTING, AND BOOKKEEPING; 2.) SMITH WEALTH MANAGEMENT. PRESIDENT. DBA. START DATE: 8/24/2010
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Wayne 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®
NoneExperience
Current
October 26, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1425 Pinehurst Road, Dunedin, FL 34698RIA
CRD#: 105644
DUNEDIN, FL
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 1425 Pinehurst Road, Dunedin, FL 34698BD
CRD#: 10299
Dunedin, FL
Past
June 15, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
DUNEDIN, FL
Past
August 31, 1998 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
DUNEDIN, FL
Past
August 31, 1998 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
DUNEDIN, FL
Past
April 5, 1995 - April 7, 1995
BARRON CHASE SECURITIES, INC.
BD
CRD#: 18969
BOCA RATON, FL
Past
January 21, 1994 - September 8, 1998
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Connecticut(9/8/2022)
IAR
Florida(10/26/2020)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Indiana(9/8/2022)
RR
Iowa(9/8/2022)
RR
Kansas(9/8/2022)
RR
Massachusetts(9/9/2022)
RR
Michigan(9/8/2022)
RR
Missouri(9/8/2022)
RR
New Jersey(9/8/2022)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Ohio(9/8/2022)
RR
South Carolina(9/8/2022)
RR
Texas(9/8/2022)
IAR
Texas(11/3/2022)
RR
Virginia(9/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 105644Dunedin, FL 34698TRUST BUT VERIFY
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