JS
Jonathan C. Smith
CETERA INVESTMENT ADVISERS LLC
WEST JEFFERSON, NC 28694
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CRD#: 5796572
JS
Professional summary
Jonathan Chad Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Jefferson, North Carolina and CETERA WEALTH SERVICES, LLC located in West Jefferson, North Carolina.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Jonathan has worked at 2 firms and has passed the Series 66, SIE and Series 7 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 8/2022 APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: LIFESTORE BANK; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: CREDIT UNION; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; START DATE: 8/2022; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: SELL FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: LIFESTORE INVESTMENTS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2010; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. REAL ESTATE REFERRALS, NOT INMVESSTMENT RELATED, 1441 MT SEFFORSON RD, W JEFFERSON, NC 28694, REAL ESTATE, STARTED 8/2015, AGENT, LESS THAN ONE HOUR PER WEEK, NOT DYRING TRADING HOURS, REFER CONTACTS TO FULL TIME REALTORS 5. AAP VENTURES, LLC 5568 TANGLEWOOD LANE GRANITE FALLS, NC 28630 PARTNER HOLDING COMPANY FOR INVESTMENT PROPERTY ZERO HOURS DEDICATED CURRENTLY. ZERO HOURS DURING TRADING HOURS. DUTIES INCLUDE YEARLY FILING.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Chad 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 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1441 Mt Jefferson Rd, West Jefferson, NC 28694Office #2: 1675 Blowing Rock Rd, Boone, NC 28607Office #3: 264 Buckshot Circle, Boone, NC 28607RIA
CRD#: 105644
WEST JEFFERSON, NC
Current
July 14, 2010 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 205 S Jefferson Ave, West Jefferson, NC 28694Office #2: 1441 Mt Jefferson Rd, West Jefferson, NC 28694Office #3: 1675 Blowing Rock Rd, Boone, NC 28607BD
CRD#: 13572
West Jefferson, NC
Past
May 12, 2011 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BOONE, NC
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
Florida(8/10/2012)
RR
Georgia(8/27/2020)
RR
New York(6/17/2024)
RR
North Carolina(9/2/2010)
IAR
North Carolina(6/29/2023)
RR
Ohio(6/13/2018)
RR
South Carolina(11/5/2010)
RR
Tennessee(7/29/2011)
RR
Virginia(11/15/2010)
Exams
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
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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#: 105644West Jefferson, NC 28694TRUST BUT VERIFY
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