WS
William Smoltino
CETERA INVESTMENT ADVISERS LLC
BROOKLYN, NY 11209
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CRD#: 4834762
WS
Professional summary
William Smoltino is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Brooklyn, New York and CETERA WEALTH SERVICES, LLC located in Brooklyn, New York.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. William has worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE 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. NAME OF OTHER BUSINESS: SUMMIT FINANCIAL NETWORKS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL ADVISORY SERVICES START DATE: 03/2025 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISING; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 06/2024 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 30 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: BAY RIDGE PROMENADE CONDOMINIUM INVESTMENT RELATED: NO ADDRESS: BROOKLYN, NY NATURE OF BUSINESS: BOARD MEMBER HOA START DATE: 01/2020 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: VOTING ON GENERAL DECISIONS RELATED TO MY CONDO BUILDING; 4. NAME OF OTHER BUSINESS: 275 GRAND ST NB LLC, 54 GRAND STREET LLC, 56 GRAND STREET LLC, 799 E 163RD LLC, 801 E 163RD LLC INVESTMENT RELATED: NO ADDRESS: RYE, NY NATURE OF BUSINESS: REAL ESTATE HOLDINGS START DATE: 06/2021 POSITION/TITLE/RELATIONSHIP: PARTNER / LANDLORD APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: WE ACT AS LANDLORD AND RECEIVE RENT. OTHER PARTNERS MANAGE PROPERTIES. I HAVE MINIMAL RESPONSIBILITIES; 5. NAME OF OTHER BUSINESS: HBTJ HOLDINGS INVESTMENT RELATED: NO ADDRESS: STATEN ISLAND, NY NATURE OF BUSINESS: RESTAURANT FOOD SERVICE START DATE: 01/2020 POSITION/TITLE/RELATIONSHIP: PARTNER / INVESTOR APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: I INVESTED FUNDS IN A RESTAURANT HOLDING COMPANY FOR THE HO BRAH RESTAURANT GROUP'S LOCATIONS. I HAVE NO DUTIES BEYOND THE INITIAL INVESTMENT BESIDES SOME OCCASIONAL IDEAS ON THE BUSINESS;
CRS (Client Relationship Summary) - RIA
Click below to view William Smoltino'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
March 18, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8804 Fourth Ave, Brooklyn, NY 11209RIA
CRD#: 105644
BROOKLYN, NY
Current
March 18, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8804 Fourth Ave, Brooklyn, NY 11209BD
CRD#: 13572
Brooklyn, NY
Past
March 19, 2024 - March 20, 2025
OSAIC WEALTH, INC.
RIA
CRD#: 23131
ISLANDIA, NY
Past
January 13, 2023 - March 20, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
ISLANDIA, NY
Past
May 22, 2017 - November 29, 2022
VANDERBILT SECURITIES, LLC
BD
CRD#: 5953
WOODBURY, NY
Past
June 22, 2011 - May 23, 2017
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
October 23, 2009 - June 17, 2011
FINANCIAL ADVISERS OF AMERICA, LLC
BD
CRD#: 142170
BROOKLYN, NY
Past
August 11, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
BROOKLYN, NY
Past
August 11, 2004 - July 24, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BROOKLYN, NY
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(7/9/2025)
RR
Florida(3/19/2025)
RR
New Jersey(3/18/2025)
RR
New York(3/18/2025)
IAR
New York(3/18/2025)
RR
Rhode Island(10/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/17/2024
General Securities Representative ExaminationGeneral 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
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.
