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CC

Cesar A. Casas

Some features on this profile are disabled
CRD#: 3007409
CC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Cesar Augusto Casas, CFP® was a registered financial professional .

Cesar is a previously registered financial professional and started their career in finance in 1998. Cesar had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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: 2005

Experience

Past

July 14, 2021 - July 23, 2025

SMARTPATH ADVISORS

RIA
CRD#: 304563
Columbia, MD
Past

November 18, 2013 - December 31, 2016

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
RIDGEFIELD, CT
Past

November 18, 2013 - December 31, 2016

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
New York, NY
Past

October 5, 2009 - November 7, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
DANBURY, CT
Past

October 5, 2009 - November 7, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

February 6, 2006 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
DANBURY, CT
Past

February 6, 2006 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

July 3, 2003 - September 7, 2005

NEW ENGLAND SECURITIES

RIA
CRD#: 615
NORWALK , CT
Past

November 1, 2002 - September 7, 2005

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

September 20, 2002 - November 18, 2002

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
STAMFORD, CT
Past

September 18, 2002 - November 18, 2002

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

October 20, 1999 - September 21, 2000

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

March 18, 1998 - September 3, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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".
SA
SMARTPATH ADVISORS
SMARTPATH ADVISORS | SMARTPATH ADVISORS, LLC

CRD#: 304563 / SEC#: 801-119877

RIA
Registered Investment Advisory firm - (12/1/2020 Approved)
Alabama
Registered Investment Advisory firm - (12/8/2020 Terminated)
District of Columbia
Registered Investment Advisory firm - (12/31/2020 Terminated)
Florida
Registered Investment Advisory firm - (12/31/2020 Terminated)
Georgia
Registered Investment Advisory firm - (12/31/2020 Terminated)
Illinois
Registered Investment Advisory firm - (12/31/2020 Terminated)
Kansas
Registered Investment Advisory firm - (12/31/2020 Terminated)
Louisiana
Registered Investment Advisory firm - (12/31/2020 Terminated)
Maryland
Registered Investment Advisory firm - (12/8/2020 Terminated)
Mississippi
Registered Investment Advisory firm - (12/31/2020 Terminated)
Missouri
Registered Investment Advisory firm - (12/31/2020 Terminated)
North Carolina
Registered Investment Advisory firm - (12/31/2020 Terminated)
Ohio
Registered Investment Advisory firm - (1/2/2021 Terminated)
Pennsylvania
Registered Investment Advisory firm - (12/31/2020 Terminated)
Tennessee
Registered Investment Advisory firm - (12/31/2020 Terminated)
Texas
Registered Investment Advisory firm - (12/31/2020 Terminated)
Virginia
Registered Investment Advisory firm - (12/31/2020 Terminated)
Washington
Registered Investment Advisory firm - (1/8/2021 Terminated)
Wisconsin
Registered Investment Advisory firm - (12/31/2020 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/2/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/1/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1998
General Securities Representative Examination

Current Firm

SA
SMARTPATH ADVISORS
SMARTPATH ADVISORS | SMARTPATH ADVISORS, LLC

CRD#: 304563 / SEC#: 801-119877

RIA
Registered Investment Advisory firm - (12/1/2020 Approved)
Alabama
Registered Investment Advisory firm - (12/8/2020 Terminated)
District of Columbia
Registered Investment Advisory firm - (12/31/2020 Terminated)
Florida
Registered Investment Advisory firm - (12/31/2020 Terminated)
Georgia
Registered Investment Advisory firm - (12/31/2020 Terminated)
Illinois
Registered Investment Advisory firm - (12/31/2020 Terminated)
Kansas
Registered Investment Advisory firm - (12/31/2020 Terminated)
Louisiana
Registered Investment Advisory firm - (12/31/2020 Terminated)
Maryland
Registered Investment Advisory firm - (12/8/2020 Terminated)
Mississippi
Registered Investment Advisory firm - (12/31/2020 Terminated)
Missouri
Registered Investment Advisory firm - (12/31/2020 Terminated)
North Carolina
Registered Investment Advisory firm - (12/31/2020 Terminated)
Ohio
Registered Investment Advisory firm - (1/2/2021 Terminated)
Pennsylvania
Registered Investment Advisory firm - (12/31/2020 Terminated)
Tennessee
Registered Investment Advisory firm - (12/31/2020 Terminated)
Texas
Registered Investment Advisory firm - (12/31/2020 Terminated)
Virginia
Registered Investment Advisory firm - (12/31/2020 Terminated)
Washington
Registered Investment Advisory firm - (1/8/2021 Terminated)
Wisconsin
Registered Investment Advisory firm - (12/31/2020 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Atlanta, GA
Mailing Address
2451 Cumberland Pkwy Ste 3954, Atlanta, GA 30339
Phone number
(678) 538-9420
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (11/12/2025)

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.

Company Information

SMARTPATH ADVISORS

CRD#: 304563

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