Thomas M. Smith

CETERA INVESTMENT ADVISERS LLC

WASHINGTON, NJ 07882

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CRD#: 4743030

Professional summary

Thomas Michael Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Washington, New Jersey and CETERA WEALTH SERVICES, LLC located in Washington, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Thomas has worked at 5 firms and has passed the Series 65, 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.

Hess and Smith~'NIR'~18 BUTTERMILK BRIDGE RD~WASHINGTON~NJ~07882~Tax Preparation/Accounting~Owner/Sole Proprietor~8/2/2004~40hrs~30hrs~ACCOUNTANT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Smith'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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 18 Buttermilk Bridge Rd., Washington, NJ 07882

RIA

CRD#: 105644

WASHINGTON, NJ

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WASHINGTON, NJ

Past

January 13, 2012 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

WASHINGTON, NJ

Past

August 3, 2004 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

WASHINGTON, NJ

Past

January 6, 2004 - August 4, 2004

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(9/5/2025)

Illinois
(9/5/2025)

New Jersey
(9/5/2025)

IAR

New Jersey
(9/5/2025)

New York
(9/5/2025)

North Dakota
(9/5/2025)

Pennsylvania
(9/5/2025)

South Carolina
(9/5/2025)

Vermont
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/28/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/5/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

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 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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Firm Stability Insights

Thomas M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Michael Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2011

Series 63

Date: 8/31/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/28/2007

Series 6

Date: 1/5/2004

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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