Brian P. Smith

CETERA INVESTMENT ADVISERS LLC

BRADENTON, FL 34208

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CRD#: 2499119

Professional summary

Brian Paul Smith, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bradenton, Florida and CETERA INVESTMENT SERVICES LLC located in Bradenton, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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. WEALTH ADVISOR AT HANCOCK WHITNEY; PROVIDE FINANCIAL PLANNING AND WILL THEN REFER TO THE APPROPRIATE SPECIALISTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Paul Smith's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2013

Experience

Current

August 4, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4770 State Road 64 East, Bradenton, FL 34208

RIA

CRD#: 105644

BRADENTON, FL

Current

August 10, 2022 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 4770 State Road 64 East, Bradenton, FL 34208

CRD#: 15340

Bradenton, FL

Past

March 20, 2020 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA

CRD#: 40637

BRADENTON, FL

Past

March 19, 2020 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

BRADENTON, FL

Past

July 13, 2018 - November 29, 2019

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

March 21, 2013 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SARASOTA, FL

Past

January 18, 2013 - November 26, 2019

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SARASOTA, FL

Past

June 12, 2006 - January 10, 2013

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

SARASOTA, FL

Past

June 5, 2006 - January 10, 2013

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

SARASOTA, FL

Past

October 1, 2000 - May 30, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

VENICE, FL

Past

October 1, 2000 - May 30, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

VENICE, FL

Past

September 25, 1997 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

June 24, 1994 - August 8, 1997

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

June 24, 1994 - August 8, 1997

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

IAR

Florida
(8/4/2022)

Florida
(8/10/2022)

Mississippi
(8/22/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/14/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/23/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/8/2006

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Brian P. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Paul Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/14/2006

Series 63

Date: 6/23/1994

SIE

Date: 10/1/2018

Series 7

Date: 4/26/2005

Series 6

Date: 6/23/1994

Series 26

Date: 9/8/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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