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Scott P. Smith
CETERA INVESTMENT ADVISERS LLC
CHARLOTTE, NC 28277
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CRD#: 4800498
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Professional summary
Scott Paul Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Charlotte, North Carolina and CETERA WEALTH SERVICES, LLC located in Fort Mill, South Carolina.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Scott has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/2003; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE AND P&C; 2. NAME OF OTHER BUSINESS: CONVERGENT FINANCIAL PARTNERS, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 06/2023; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32; BRIEF DESCRIPTION OF DUTIES: PROVIDING BROKERAGE AND ADVISORY SERVICES TO CLIENTS WHEN NEEDED; 3. NAME OF OTHER BUSINESS: NCSHP FOUNDATION; INVESTMENT RELATED: YES; ADDRESS: 4696 MONUMENT VALLEY DRIVE INDIAN LAND, SC 29707; NATURE OF BUSINESS: NON PROFIT; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER, PROVIDE GUIDANCE, RAISE FUNDS FOR TROOPERS AND THEIR FAMILY;
CRS (Client Relationship Summary) - RIA
Click below to view Scott Paul 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
July 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 15720 Brixham Hill Ave. Suite 300, Charlotte, NC 28277RIA
CRD#: 105644
CHARLOTTE, NC
Current
July 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 15720 Brixham Hill Ave. Suite 300, Charlotte, NC 28277BD
CRD#: 13572
FORT MILL, SC
Past
February 24, 2015 - July 18, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CHARLOTTE, NC
Past
November 26, 2014 - July 18, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CHARLOTTE, NC
Past
February 5, 2013 - October 17, 2014
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
January 5, 2011 - December 31, 2012
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
MONROE, MI
Past
June 14, 2004 - December 31, 2010
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
MONROE, MI
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
Alabama(1/12/2024)
RR
Florida(7/10/2023)
RR
Georgia(1/2/2025)
RR
Illinois(8/1/2024)
RR
Louisiana(3/31/2025)
RR
Maryland(11/19/2024)
RR
Michigan(7/10/2023)
RR
North Carolina(7/10/2023)
IAR
North Carolina(7/10/2023)
RR
Pennsylvania(11/19/2024)
RR
South Carolina(7/10/2023)
IAR
South Carolina(10/24/2024)
RR
Tennessee(1/7/2025)
RR
Virginia(1/2/2025)
RR
West Virginia(11/19/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
