Stephen R. Smith

CETERA INVESTMENT ADVISERS LLC

FORT MYERS, FL 33919

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CRD#: 2632131

Professional summary

Stephen Richard Smith, who also goes by Stephen Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Myers, Florida and CETERA INVESTMENT SERVICES LLC located in Fort Myers, Florida.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen 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.)FOOTBALL OFFICIAL. FALL ONLY, 10-12 GAMES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Richard 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®

None

Experience

Current

April 24, 2017 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8655 College Pkwy Sw, Fort Myers, FL 33919

RIA

CRD#: 105644

FORT MYERS, FL

Current

March 16, 2017 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 8655 College Pkwy Sw, Fort Myers, FL 33919Office #2: 6335 Us Hwy 19, New Port Richey, FL 34652

CRD#: 15340

Fort Myers, FL

Past

February 16, 2016 - March 16, 2017

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

Colorado Springs, CO

Past

February 12, 2016 - March 16, 2017

BBVA SECURITIES INC.

CRD#: 27060

HIGHLANDS RANCH, CO

Past

August 26, 2015 - January 26, 2016

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

COLORADO SPRINGS, CO

Past

August 25, 2015 - January 26, 2016

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

COLORADO SPRINGS, CO

Past

January 21, 2014 - August 14, 2015

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SHREVEPORT, LA

Past

April 15, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

SHREVEPORT, LA

Past

April 13, 2013 - August 14, 2015

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SHREVEPORT, LA

Past

October 6, 2010 - April 1, 2013

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

BONITA SPRINGS, FL

Past

September 13, 2010 - April 1, 2013

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

BONITA SPRINGS, FL

Past

May 27, 2009 - September 13, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

ESTERO, FL

Past

June 13, 2003 - October 10, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

ESTERO, FL

Past

June 6, 2003 - September 13, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ESTERO, FL

Past

August 10, 2000 - June 12, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

FT. MYERS, FL

Past

June 22, 1998 - June 12, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

Alabama
(3/16/2017)

Florida
(3/16/2017)

IAR

Florida
(4/24/2017)

Georgia
(5/21/2019)

Illinois
(6/15/2022)

Kentucky
(5/31/2019)

North Carolina
(1/5/2024)

Ohio
(1/25/2023)

Tennessee
(8/22/2022)

Texas
(3/3/2020)

IAR

Texas
(6/16/2022)

Wisconsin
(3/19/2018)

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: 7/2/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/1998

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: 6/16/1998

General Securities Representative 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

Stephen R. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Richard Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/2/1998

Series 63

Date: 6/23/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/16/1998

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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