SS
Samuel T. Smith
CETERA INVESTMENT ADVISERS LLC
SOUTH PLAINFIELD, NJ 07080
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CRD#: 5219742
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Professional summary
Samuel Tyrone Smith III, who also goes by Samuel Tyrone Smith III, Samuel Tyrone Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in South Plainfield, New Jersey and CETERA WEALTH SERVICES, LLC located in South Plainfield, New Jersey.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Samuel has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Samuel Tyrone Smith Iii | Samuel Tyrone 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.
1) TaxsmithS LLC 2443 Plainfield Ave Suite 2~South Plainfield~NJ~07060~Accounting Services/Tax Preparation~Other~2/25/2010~80hrs~40hrs~The majority of my time is spent on providing individual and business income tax preparation. I also engage in tax planning and related business services, client booking, and student financial aid consulting. 2) Public Service Electric and Gas Company 80 Park Plaza~Newark~NJ~07102~Other~Employee~2/28/1994~160hrs~110hrs~I process and manage new business project requests for large industrial and commercial customers. Process decorative lighting requests. Assist customers with billing and tariff inquiries. 3)TaxsmithS LLC (1); Other; ~; The business activities include tax preparation and related services including tax planning, and student financial aid assistance; IR; 40; ; 2443 Plainfield Ave Suite 2 South Plainfield NJ 07060; ~; The majority of my time is spent on providing individual and business income tax preparation. I also engage in tax planning and related business services, client booking, and student financial aid consulting. 4)Public Service Electric and Gas Company (1); Employee; ~; This company provides gas and electric services to residential, commercial and industrial customers. It is a franchised utility in the State of NJ.; NIR; 110; ; 80 Park Plaza Newark NJ 07102; ~; I process and manage new business project requests for large industrial and commercial customers. Process decorative lighting requests. Assist customers with billing and tariff inquiries.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Tyrone Smith III'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2443 Plainfield Ave Suite 2, South Plainfield, NJ 07080RIA
CRD#: 105644
SOUTH PLAINFIELD, NJ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2443 Plainfield Ave Suite 2, South Plainfield, NJ 07080BD
CRD#: 13572
South Plainfield, NJ
Past
August 24, 2020 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
South Plainfield, NJ
Past
August 20, 2020 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
South Plainfield, NJ
Past
January 21, 2008 - July 24, 2020
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SOUTH PLAINFIELD, NJ
Past
October 10, 2006 - July 24, 2020
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SOUTH PLAINFIELD, NJ
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
Georgia(9/5/2025)
RR
New Jersey(9/5/2025)
IAR
New Jersey(9/5/2025)
RR
North Carolina(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General 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.
