Christopher R. Smith

CETERA INVESTMENT ADVISERS LLC

FLORENCE, AL 35630

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CRD#: 4868875

Professional summary

Christopher Ray Smith, CFP®, who also goes by Christopher R Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Florence, Alabama and CETERA WEALTH SERVICES, LLC located in Florence, Alabama.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Christopher has worked at 7 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Christopher R Smith

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.

CB&S FINANCIAL SERVICES (A DIVISION OF CB&S BANK); Investment Related; 2975 Hough Road, Florence, AL 35630; Financial Services; Financial Services Representative; Start Date 07/2022; 160 hours, more or less, per month with the majority of hours per month occurring during trading hours; Offer financial and investment products and services to CB&S Bank Customers. >> INSURANCE SALES; Investment Related; 2975 Hough Road, Florence, AL 35630; Insurance; Independent Insurance Producer; Start Date 2004; 5-10 hours per month with some hours occurring during trading hours; Insurance product sales and service.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Ray 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®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2975 Hough Road, Florence, AL 35630

RIA

CRD#: 105644

FLORENCE, AL

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2975 Hough Road, Florence, AL 35630

CRD#: 7691

FLORENCE, AL

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

Alabama
(2/20/2025)

IAR

Alabama
(2/20/2025)

California
(2/20/2025)

Florida
(2/20/2025)

Georgia
(2/20/2025)

Idaho
(2/20/2025)

Indiana
(2/20/2025)

Louisiana
(2/20/2025)

Minnesota
(2/20/2025)

Mississippi
(2/20/2025)

North Carolina
(2/20/2025)

Pennsylvania
(2/20/2025)

South Carolina
(2/20/2025)

Tennessee
(2/20/2025)

Texas
(2/20/2025)

IAR

Texas
(4/1/2025)

Virginia
(2/20/2025)

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 66

Date: 11/12/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/21/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/3/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/18/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/4/2009

General Securities Sales Supervisor - Options Module 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

Christopher R. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Ray Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/12/2004

SIE

Date: 10/1/2018

Series 3

Date: 12/21/2009

Series 7

Date: 11/3/2004

Series 10

Date: 3/18/2009

Series 9

Date: 3/4/2009

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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