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RS

Ronald Gregory Smith

CETERA INVESTMENT ADVISERS
OREM, UT
·CRD# 5099531·20 years experience

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 Provo, 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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

20 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
1. 1145 S 800 East Ste 110, Orem, UT 840972. Provo, UT
March 21, 2024 - Present
CETERA ADVISORS LLC·CRD# 10299
BD
Provo, UT
April 10, 2006 - Present
CETERA ADVISORS LLC·CRD# 10299
RIA
Orem, UT
April 14, 2006 - March 21, 2024

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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 - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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 ;

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(1/8/2025)
RR
California
(11/19/2008)
RR
Colorado
(4/10/2006)
RR
Montana
(1/2/2026)
RR
Texas
(1/14/2025)
IAR
Texas
(1/14/2025)
RR
Utah
(6/27/2006)
IAR
Utah
(3/21/2024)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Apr 2006About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2006About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 2011About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Ronald Gregory Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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RS
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