MS
Michael M. Smith
CETERA INVESTMENT ADVISERS LLC
CANONSBURG, PA 15317
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CRD#: 4297654
MS
Professional summary
Michael Maxwell Smith, who also goes by Mike M Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Canonsburg, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Canonsburg, Pennsylvania.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike M 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: DBA R & M SMITH PARTNERS, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 9/2013 2009APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: DBA SOUTHPOINTE FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REGISTERED INVESTMENT ADVISOR START DATE: 1997 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 35 BRIEF DESCRIPTION OF DUTIES: IAR REPRESENTITIVE; 3. NAME OF OTHER BUSINESS: NON-PROFIT ORGANIZATION, INVESTMENT RELATED: NO, ADDRESS: 905 E MCMURRAY RD, VENETIA, PA 15367, NATURE OF BUSINESS: NON-PROFIT, START DATE: 03/2025, POSITION/TITLE/RELATIONSHIP: SECRETARY, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: ANNOUNCEMENTS AT WEEKLY MEETINGS, EMAILS TO HOME GROUP MEMBERS OF EVENTS AND NEW MEMBER WELCOMES;
CRS (Client Relationship Summary) - RIA
Click below to view Michael Maxwell 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: 400 Southpointe Blvd Ste 430, Canonsburg, PA 15317RIA
CRD#: 105644
CANONSBURG, PA
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 380 Southpointe Blvd Ste 210, Canonsburg, PA 15317BD
CRD#: 13572
CANONSBURG, PA
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 24, 2011 - December 31, 2016
VANTAGE FINANCIAL GROUP, INC.
RIA
CRD#: 105950
CANONSBURG, PA
Past
July 23, 2007 - September 3, 2013
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
CANONSBURG, PA
Past
April 2, 2003 - September 3, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
CANONSBURG, PA
Past
April 19, 2001 - March 21, 2003
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
February 1, 2001 - April 10, 2001
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 1, 2001 - April 10, 2001
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
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
California(11/11/2021)
RR
Colorado(8/30/2022)
RR
Florida(9/3/2013)
RR
Kansas(3/29/2017)
RR
Michigan(5/14/2025)
RR
Nebraska(7/11/2023)
RR
North Carolina(9/3/2013)
RR
Ohio(9/3/2013)
RR
Pennsylvania(9/3/2013)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(1/5/2023)
RR
Tennessee(7/3/2017)
RR
Virginia(4/12/2016)
RR
Washington(1/2/2025)
RR
West Virginia(8/30/2022)
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
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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.
