KS
Kristopher B. Smith
CETERA INVESTMENT ADVISERS LLC
Fargo, ND 58102
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CRD#: 4199159
KS
Professional summary
Kristopher B Smith, who also goes by Kristopher B. Smith, Kristopher Beau Scott Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fargo, North Dakota and CETERA WEALTH SERVICES, LLC located in Fargo, North Dakota.
Kristopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kristopher has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristopher B. Smith | Kristopher Beau Scott 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: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 04/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: KSCL LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: LLC; START DATE: 4/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: OWNER - LLC FOR TAX PURPOSES; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 3/2023; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE;
CRS (Client Relationship Summary) - RIA
Click below to view Kristopher B 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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1 North 2nd Street, Suite 114, Fargo, ND 58102RIA
CRD#: 105644
Fargo, ND
Current
April 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1 North 2nd Street, Suite 114, Fargo, ND 58102BD
CRD#: 13572
Fargo, ND
Past
April 20, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 17, 2016 - April 20, 2022
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
Fargo, ND
Past
June 1, 2016 - April 20, 2022
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
Fargo, ND
Past
August 12, 2006 - June 21, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FARGO, ND
Past
August 12, 2006 - June 21, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
FARGO, ND
Past
March 18, 2002 - August 12, 2006
PIPER SANDLER & CO.
RIA
CRD#: 665
FARGO, ND
Past
February 6, 2002 - August 12, 2006
PIPER SANDLER & CO.
BD
CRD#: 665
FARGO, ND
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
Alaska(4/20/2022)
RR
Arizona(8/24/2022)
RR
California(4/20/2022)
RR
Florida(7/13/2022)
RR
Georgia(4/20/2022)
RR
Idaho(5/19/2025)
RR
Minnesota(4/20/2022)
RR
Montana(4/20/2022)
RR
New Mexico(4/20/2022)
RR
North Dakota(4/20/2022)
IAR
North Dakota(6/29/2023)
RR
South Dakota(4/20/2022)
RR
Washington(4/20/2022)
RR
Wisconsin(4/20/2022)
Exams
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
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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
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.
