RS
Ronald G. Smith
CETERA INVESTMENT ADVISERS LLC
OREM, UT 84097
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CRD#: 5099531
RS
Professional summary
Ronald Gregory Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Orem, Utah and CETERA ADVISORS LLC located in Orem, Utah.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Ronald has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.FIXED INSURANCE AGENT ;
2.NEWDEAL SHAREHOLDING, START 1/05, WINDSOR PARTNERS LLC, 9182 ROUND TREE DR HIGHLANDS RANCH CO 80126, 1HR/WK, INVESTMENT VEHICLE, MANAGER/ADMIN DUTIES ;
3. NAME OF OTHER BUSINESS: GDI CONSULTING USA INC DBA GENESIS FINANCIAL CONSULTING ;
INVESTMENT RELATED: NO ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: NON-SECURITIES RELATED CONSULTING ;
START DATE: 04/2006 ;
POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT ;
APX NUMBER OF HOURS PER WEEK: VARIES ;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ;
BRIEF DESCRIPTION OF DUTIES: NON-SECURITIES RELATED BUSINESS CONSULTING SERVICES ;
4. NAME OF OTHER BUSINESS: GENESIS FINANCIAL;
INVESTMENT RELATED: YES ;
ADDRESS: SAME AS REGISTERED LOCATION ;
NATURE OF BUSINESS: SECURITIES-RELATED FINANCIAL SERVICES ;
START DATE: 04/2006 ;
POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT ;
APX NUMBER OF HOURS PER WEEK: 20-40 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 20-32.5 ;
BRIEF DESCRIPTION OF DUTIES: USE OF DBA WHEN PROVIDING SECURITIES AND ADVISORY SERVICES THROUGH CETERA ADVISORS ;
5. NAME OF OTHER BUSINESS: UTAH VALLEY UNIVERSITY ;
INVESTMENT RELATED: NO
ADDRESS: 800 W UNIVERSITY PKWY, OREM UT 84058 ;
NATURE OF BUSINESS: UNIVERSITY INSTRUCTOR ;
START DATE: 01/2019 ;
POSITION/TITLE/RELATIONSHIP: PART-TIME INSTRUCTOR ;
APX NUMBER OF HOURS PER WEEK: 6 ;
APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ;
BRIEF DESCRIPTION OF DUTIES: TEACHING CLASSES AT THE UNIVERSITY ;
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Gregory 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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1145 S 800 East Ste 110, Orem, UT 84097RIA
CRD#: 105644
OREM, UT
Current
April 10, 2006 - Present
CETERA ADVISORS LLC
Office #1: 1145 S 800 East Ste 110, Orem, UT 84097BD
CRD#: 10299
Orem, UT
Past
April 14, 2006 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
HIGHLANDS RANCH, CO
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(1/8/2025)
RR
California(11/19/2008)
RR
Colorado(4/10/2006)
RR
Florida(12/20/2021)
RR
New Mexico(9/25/2019)
RR
Texas(1/14/2025)
IAR
Texas(1/14/2025)
RR
Utah(6/27/2006)
IAR
Utah(3/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Orem, UT 84097TRUST BUT VERIFY
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