BS
Brian K. Smoot
CETERA INVESTMENT ADVISERS
Dallas, TX
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CRD#: 4204833
BS
Brian Kirkham SmootCETERA INVESTMENT ADVISERS
Professional summary
Brian Kirkham Smoot is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 9 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
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.
1. NAME OF OTHER BUSINESS: ROADMAP WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 06/2026 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL APX NUMBER OF HOURS PER WEEK: 25 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANICAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/1999 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: CITY OF UNIVERSITY PARK INVESTMENT RELATED: NO ADDRESS: DALLAS, TX NATURE OF BUSINESS: CITY COUNSEL START DATE: 07/2024 POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ACT AS VOTING COMMITTEE MEMBER FOR PLANNING AND ISSUES TO BE PRESENTED TO THE CITY COUNCIL; 4. NAME OF OTHER BUSINESS: BRIAN K. SMOOT, CPA INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: TAX SERVICES START DATE: 05/1990 POSITION/TITLE/RELATIONSHIP: SOLE PROPRIETOR APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: TAX RETURN PREP, TAX PLANNING AND AD HOC CONSULTING; 5. NAME OF OTHER BUSINESS: BRIAN K. SMOOT, JD INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LEGAL SERVICES START DATE: 01/1998 POSITION/TITLE/RELATIONSHIP: ATTORNEY APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: PROVIDE LEGAL SERVICES; 6. NAME OF OTHER BUSINESS: BRIAN K. SMOOT INVESTMENT RELATED: NO ADDRESS: DALLAS, TX NATURE OF BUSINESS: PERSONAL RENTAL PROPERTY START DATE: 04/2026 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY;
CRS (Client Relationship Summary) - RIA
Click below to view Brian Kirkham Smoot'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 16, 2026 - Present
CETERA INVESTMENT ADVISERS LLC
Office #3: 8111 Preston Road Suite #230, Dallas, TX 75225RIA
CRD#: 105644
Dallas, TX
Current
June 16, 2026 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8111 Preston Road Suite 480, Dallas, TX 75225BD
CRD#: 13572
Dallas, TX
Past
June 14, 2024 - April 8, 2026
OSAIC WEALTH, INC.
RIA
CRD#: 23131
DALLAS, TX
Past
June 14, 2024 - April 8, 2026
OSAIC WEALTH, INC.
BD
CRD#: 23131
DALLAS, TX
Past
January 4, 2007 - June 14, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
DALLAS, TX
Past
August 31, 2005 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
DALLAS, TX
Past
September 26, 2001 - September 13, 2005
OSAIC FA, INC.
RIA
CRD#: 3978
DALLAS, TX
Past
September 26, 2001 - September 13, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 26, 2001 - September 13, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
January 24, 2001 - August 31, 2001
DAYLIGHT ONLINE BROKERAGE, LLC
BD
CRD#: 47897
ADDISON, TX
Past
October 10, 2000 - January 26, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 10, 2000 - January 26, 2001
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
June 26, 2000 - September 28, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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
Florida(6/16/2026)
RR
Kentucky(6/16/2026)
RR
Nevada(6/16/2026)
RR
North Carolina(6/16/2026)
RR
Oklahoma(6/16/2026)
RR
Pennsylvania(7/22/2026)
RR
Texas(6/16/2026)
IAR
Texas(6/16/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)Loading...
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 |
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.
