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BS

Brian K. Smoot

CETERA INVESTMENT ADVISERS
Dallas, TX 75225
CRD#: 4204833
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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.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Brian Kirkham Smoot's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 16, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 8111 Preston Road Suite #230, Dallas, TX 75225
RIA
CRD#: 105644
Dallas, TX
Current

June 16, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 8111 Preston Road Suite 480, Dallas, TX 75225
BD
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
Texas
(6/16/2026)
IAR
Texas
(6/16/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/19/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/27/2001
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/5/2000
General Securities Principal Examination
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)
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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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Dallas, TX 75225

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