JS
Jade V. Smith
CETERA INVESTMENT ADVISERS LLC
WICHITA, KS 67203
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CRD#: 4453796
JS
Professional summary
Jade Vincent Smith, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wichita, Kansas and CETERA WEALTH SERVICES, LLC located in Wichita, Kansas.
Jade is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jade has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
1)INDEPENDENT INSURANCE AGENT DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE FOR 50HRS/WK SINCE 2005
2). NAME OF OTHER BUSINESS: DBA FINANCIAL PLANNING CONCEPTS, INC
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED ADDRESS
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 05/1991
POSITION/TITLE/RELATIONSHIP: RR AND IAR
APX NUMBER OF HOURS PER WEEK: 5
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES
BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVICE
CRS (Client Relationship Summary) - RIA
Click below to view Jade Vincent 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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 740 W 2nd St Ste. 100, Wichita, KS 67203RIA
CRD#: 105644
WICHITA, KS
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 301 N Main St Ste 140, Wichita, KS 67202BD
CRD#: 13572
Wichita, KS
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 20, 2006 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
WICHITA, KS
Past
January 11, 2005 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
WICHITA, KS
Past
November 5, 2001 - January 6, 2005
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
Arizona(2/11/2019)
RR
Arkansas(1/17/2025)
RR
California(4/22/2025)
RR
Indiana(1/3/2024)
RR
Kansas(9/3/2013)
IAR
Kansas(6/29/2023)
RR
Missouri(9/3/2013)
RR
Nebraska(8/4/2020)
RR
New Mexico(2/19/2025)
RR
Oregon(1/25/2022)
RR
Texas(9/3/2013)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Wichita, KS 67203TRUST BUT VERIFY
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