SS
Stephen M. Smith
CETERA INVESTMENT ADVISERS LLC
JEFFERSON CITY, MO 65101
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CRD#: 3036650
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Professional summary
Stephen Michael Smith, AIF®, who also goes by Steve M Smith, Steve Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jefferson City, Missouri and CETERA WEALTH SERVICES, LLC located in Jefferson City, Missouri.
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 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve M Smith | Steve 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 6/2015 APX NUMBER OF HOURS PER WEEK: 26 APX NUMBER OF HOURS DURING TRADING HOURS: 26 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE ; 2. NAME OF OTHER BUSINESS: ST. RAYMOND'S SOCIETY; INVESTMENT RELATED: NO; ADDRESS: 308 EAST HIGH STREET, JEFFERSON CITY, MO 65101; NATURE OF BUSINESS: NON-PROFIT; START DATE: 01/2020; POSITION/TITLE/RELATIONSHIP: DIRECTOR OF GROWTH & HUMAN DEVELOPMENT ; APX NUMBER OF HOURS PER WEEK: 10-12 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: REACHING OUT TO NEW CITIES FOR EXPANSION AND TEACHING CLASSES TO CLIENTS ; 3. NAME OF OTHER BUSINESS: WINTER-DENT AND COMPANY INVESTMENT RELATED: YES ADDRESS: 101 E. MCCARTY STREET, JEFFERSON CITY, MO 65101 NATURE OF BUSINESS: FIXED INSURANCE START DATE: 7/1/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDING FIXED INSURANCE PRODUCTS FOR CLIENTS ; 4. NAME OF OTHER BUSINESS: WINTER-DENT FS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 06/2024; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michael Smith'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 101 E Mccarty St, Jefferson City, MO 65101RIA
CRD#: 105644
JEFFERSON CITY, MO
Current
July 21, 2015 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 101 E Mccarty St, Jefferson City, MO 65101BD
CRD#: 13572
Jefferson City, MO
Past
January 22, 2016 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
JEFFERSON CITY, MO
Past
January 24, 2003 - May 21, 2014
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
COLUMBIA, MO
Past
April 22, 1999 - April 16, 2001
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
April 16, 1998 - January 14, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.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
California(4/14/2022)
RR
Colorado(8/18/2020)
RR
Florida(2/21/2023)
RR
Missouri(7/21/2015)
IAR
Missouri(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Jefferson City, MO 65101TRUST BUT VERIFY
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