SS
Stanley R. Smiley
CETERA WEALTH SERVICES
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 3004604
SS
Professional summary
Stanley Robert Smiley, who also goes by Stanley R Smiley, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in El Segundo, California and CETERA INVESTMENT SERVICES LLC located in El Segundo, California.
Stanley is registered as a RR (Registered Representative) and started their career in finance in 2004. Stanley has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stanley R Smiley
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.
CRS (Client Relationship Summary) - BD
Click below to view Stanley Robert Smiley'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
May 21, 2001 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 13572
El Segundo, CA
Current
March 3, 2004 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 15340
El Segundo, CA
Current
March 3, 2004 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10299
El Segundo, CA
Current
June 13, 2012 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10358
El Segundo, CA
Past
August 10, 2016 - January 18, 2017
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
EL SEGUNDO, CA
Past
August 10, 2016 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
EL SEGUNDO, CA
Past
August 10, 2016 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
EL SEGUNDO, CA
Past
August 10, 2016 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
EL SEGUNDO, CA
Past
February 12, 2016 - January 9, 2017
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
el segundo, CA
Past
February 24, 2006 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
ST. CLOUD, MN
Past
February 24, 2006 - December 31, 2010
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
March 3, 2004 - August 2, 2010
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
EL SEGUNDO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(7/22/2003)
RR
Alaska(7/22/2003)
RR
Arizona(7/22/2003)
RR
Arkansas(7/22/2003)
RR
California(7/23/2001)
RR
Colorado(7/22/2003)
RR
Connecticut(7/22/2003)
RR
Delaware(7/22/2003)
RR
District of Columbia(7/22/2003)
RR
Florida(7/22/2003)
RR
Georgia(7/22/2003)
RR
Hawaii(7/22/2003)
RR
Idaho(7/22/2003)
RR
Illinois(7/22/2003)
RR
Indiana(7/22/2003)
RR
Iowa(7/22/2003)
RR
Kansas(7/22/2003)
RR
Kentucky(7/22/2003)
RR
Louisiana(7/22/2003)
RR
Maine(7/22/2003)
RR
Maryland(7/22/2003)
RR
Massachusetts(7/22/2003)
RR
Michigan(7/22/2003)
RR
Minnesota(7/22/2003)
RR
Mississippi(7/22/2003)
RR
Missouri(7/22/2003)
RR
Montana(7/22/2003)
RR
Nebraska(7/16/2012)
RR
Nevada(7/16/2012)
RR
New Hampshire(7/22/2003)
RR
New Jersey(7/22/2003)
RR
New Mexico(7/22/2003)
RR
New York(7/22/2003)
RR
North Carolina(7/18/2012)
RR
North Dakota(7/22/2003)
RR
Ohio(6/24/2005)
RR
Oklahoma(7/22/2003)
RR
Oregon(7/22/2003)
RR
Pennsylvania(7/16/2012)
RR
Rhode Island(7/22/2003)
RR
South Carolina(7/22/2003)
RR
South Dakota(7/22/2003)
RR
Tennessee(7/22/2003)
RR
Texas(7/22/2003)
RR
Utah(7/16/2012)
RR
Vermont(7/22/2003)
RR
Virgin Islands(9/30/2009)
RR
Virginia(7/16/2012)
RR
Washington(7/22/2003)
RR
West Virginia(7/22/2003)
RR
Wisconsin(7/22/2003)
RR
Wyoming(7/22/2003)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CETERA FINANCIAL SPECIALISTS LLC
CETERA FINANCIAL BROKERAGE SERVICES | TERRA SECURITIES CORPORATION | GENWORTH FINANCIAL SECURITIES CORPORATION | GENWORTH FINANCIAL BROKERAGE SERVICES | CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Mailing Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Phone number
(888) 528-2987
Established
Delaware since 10/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
