Charles S. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Scott Smith, who also goes by Scott Smith, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2003. Charles had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - February 28, 2014
CETERA INVESTMENT ADVISERS LLC
May 22, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
May 22, 2013 - February 28, 2014
CETERA INVESTMENT SERVICES LLC
April 17, 2012 - September 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
March 21, 2012 - September 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
March 20, 2012 - March 21, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
September 13, 2011 - February 27, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 2011 - February 27, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2006 - September 27, 2006
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 6, 2005 - January 13, 2006
COLONIAL BROKERAGE, INC.
January 22, 2003 - June 15, 2005
AMSOUTH INVESTMENT SERVICES, 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
Exams
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
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.
