Charles A. Smith

CETERA INVESTMENT ADVISERS LLC

DUQUOIN, IL 62832

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CRD#: 2872347

Professional summary

Charles A Smith JR, who also goes by Chuck Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Duquoin, Illinois and CETERA INVESTMENT SERVICES LLC located in Duquoin, Illinois.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chuck 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles A Smith JR'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

June 30, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 330 Southtown Shopping Center, Duquoin, IL 62832

RIA

CRD#: 105644

DUQUOIN, IL

Current

January 29, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 330 Southtowne Shopping Center, Duquoin, IL 62832Office #2: 8182 Maryland Ave, Clayton, MO 63105

CRD#: 15340

Duquoin, IL

Past

January 13, 2006 - February 5, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

DUQUOIN, IL

Past

February 25, 2000 - January 20, 2006

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

April 10, 1997 - February 25, 2000

WEDGEWOOD PARTNERS, INC.

CRD#: 21923

ST. LOUIS, MO

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
(4/26/2016)

California
(9/17/2014)

Florida
(2/19/2016)

Illinois
(1/29/2013)

IAR

Illinois
(6/30/2020)

Indiana
(3/23/2022)

Iowa
(2/20/2013)

Kentucky
(2/20/2013)

Missouri
(9/9/2020)

North Carolina
(8/22/2016)

Ohio
(4/23/2013)

Oklahoma
(12/22/2021)

South Carolina
(8/10/2015)

Tennessee
(4/11/2013)

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: 6/29/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/16/1997

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: 4/9/1997

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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Firm Stability Insights

Charles A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles A Smith JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

MORGAN KEEGAN & COMPANY, LLC

FIFTH THIRD SECURITIES, INC.

WEDGEWOOD PARTNERS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2020

Series 63

Date: 4/16/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/9/1997

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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