Louis M. Smalle
Professional summary
Louis Mark Smalle is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Centennial, Colorado and CETERA ADVISORS LLC located in Centennial, Colorado.
Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1971. Louis has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 22 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Louis Mark Smalle's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
October 31, 2008 - Present
CETERA ADVISORS LLC
October 31, 2008 - March 21, 2024
CETERA ADVISORS LLC
August 9, 2004 - November 12, 2008
PROFIT CONCEPTS
December 14, 2000 - August 24, 2004
MUTUAL SERVICE CORPORATION
January 11, 1994 - November 3, 2008
MUTUAL SERVICE CORPORATION
September 12, 1990 - January 19, 1994
THE ADVISORS GROUP, INC.
October 24, 1989 - September 17, 1990
PIM FINANCIAL SERVICES, INC.
July 10, 1989 - October 31, 1989
KORN, WOMACK, STERN AND ASSOCIATES, INC.
December 22, 1987 - July 5, 1989
MONARCH FINANCIAL SERVICES, INC.
June 15, 1984 - September 18, 1987
CONCORD ASSETS SECURITIES, INC.
December 1, 1976 - January 2, 1978
BLYTH EASTMAN DILLON & CO. INCORPORATED
October 29, 1975 - October 9, 1976
SHEARSON HAYDEN STONE INC.
September 19, 1972 - December 13, 1975
BACHE & CO INCORPORATED
February 2, 1971 - October 4, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/22/2019)
(10/31/2008)
(3/21/2024)
(6/30/2009)
(1/6/2020)
(1/2/2025)
(8/22/2019)
(1/11/2018)
(10/31/2008)
Exams
Series 1
Date: 1/29/1971
Registered Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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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