DS
David K. Smith
CETERA INVESTMENT ADVISERS LLC
FARMINGTON HLS, MI 48331
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CRD#: 5748118
DS
Professional summary
David Keith Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Farmington Hls, Michigan and CETERA INVESTMENT SERVICES LLC located in Farmington Hls, Michigan.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. David has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 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. MEMBER OF EXECUTIVE BOARD OF DETROIT ATHLETIC CLUB; FIRST YEAR: DIRECTOR OF HOCKY OPERATIONS; IN CHARGE OF RUNNING MONTHLY MEETGINGS; SECOND YEAR: VICE PRESIDENT; SUPPORT PRESIDENT; THIRD YEAR: PRESIDENT; OVERSEE RUNNING THE LEAGUE; 1 HR/WK
CRS (Client Relationship Summary) - RIA
Click below to view David Keith 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
June 19, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 33533 W Twelve Mile Rd Suite 310, Farmington Hls, MI 48331RIA
CRD#: 105644
FARMINGTON HLS, MI
Current
June 20, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 33533 W Twelve Mile Rd Suite 310, Farmington Hls, MI 48331BD
CRD#: 15340
Farmington Hls, MI
Past
April 5, 2016 - June 21, 2019
FORESTERS ADVISORY SERVICES, LLC
RIA
CRD#: 164663
Farmington Hills, MI
Past
January 14, 2010 - June 21, 2019
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
Farmington Hills, MI
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(2/26/2024)
RR
Arizona(8/30/2023)
RR
Arkansas(1/22/2020)
RR
California(10/15/2021)
RR
Colorado(6/21/2019)
RR
Florida(6/21/2019)
RR
Georgia(1/22/2020)
RR
Illinois(10/16/2020)
RR
Indiana(1/22/2020)
RR
Iowa(2/19/2020)
RR
Kentucky(8/23/2022)
RR
Maine(3/24/2020)
RR
Massachusetts(11/3/2021)
IAR
Michigan(6/19/2019)
RR
Michigan(6/21/2019)
RR
New York(1/22/2020)
RR
North Carolina(6/1/2023)
RR
Ohio(1/22/2020)
RR
South Carolina(1/22/2020)
RR
Tennessee(1/22/2020)
RR
Texas(6/21/2019)
IAR
Texas(1/24/2023)
RR
Vermont(3/23/2023)
RR
Virginia(8/23/2022)
RR
Washington(7/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
