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Dennis C. Smith
CLG LLC
Long Beach, CA 90803
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CRD#: 6000417
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Professional summary
Dennis C Smith, who also goes by Dennis C Smith, Dennis Smith, is a registered financial advisor currently at CLG LLC located in Long Beach, California.
Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Dennis has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dennis C Smith | Dennis 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. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 04/2014, 2HRS/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, ANNUITIES, AND LONG-TERM CARE; 2. STRATIS FINANCIAL, NOT INVESTMENT RELATED, 5772 BOLSA AVE. #250, HUNTINGTON BEACH, CA 92649, RESIDENTIAL MORTGAGES, START 09/19/1999, 30-40 HRS/WK (32.5 TRADING HOURS), PART OWNER - OFFER RESIDENTIAL MORTGAGES; 3. COPIAM ASSET MANAGEMENT, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL PLANNING & ASSET MANAGEMENT, START 01/08/2015, 30-40 HRS/WK (32.5 TRADING HOURS), PRINCIPAL; 4. NAME OF OTHER BUSINESS: ROTARY CLUB OF LONG BEACH; INVESTMENT RELATED: NO ; ADDRESS: 400 OCEANGATE #470 LONG BEACH, CA 90802 ; NATURE OF BUSINESS: SERVICE CLUB ; START DATE: 07/2022 ; POSITION/TITLE/RELATIONSHIP: IMMEDIATE PAST PRESIDENT ; APX NUMBER OF HOURS PER WEEK: 10 ; APX NUMBER OF HOURS DURING TRADING HOURS 10 ; BRIEF DESCRIPTION OF DUTIES: ADVISE BOARD OF DIRECTORS 5. NAME OF OTHER BUSINESS: LONG BEACH ROTARY CHARITABLE FOUNDATION; INVESTMENT RELATED: NO ; ADDRESS: 400 OCEANGATE #470 LONG BEACH, CA 90802 ; NATURE OF BUSINESS: CHARITABLE FOUNDATION ; START DATE: 07/2022; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1-2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 ; BRIEF DESCRIPTION OF DUTIES: RUN BOD MEETINGS, SOLICIT DONATIONS, ADVISE AND SEEK CONSENT ON EXPENDITURE OF FUNDS TO COMMUNITY ORGS, CLUB PROJECTS; 6. United American Mortgage Corporation Non Investment Related 3198 Airport Loop Ste F, Costa Mesa, CA 92626 Originating, processing and funding mortgages for residential mortgage clients Loan Originator Loan Originator, no ownership or management responsibilities May 30, 2024 12-15 Hours 12-15 Hours during securities trading hours Consult with possible clients regarding mortgage options for purchase or refinance mortgages, if became active client in-take application, "hand-off" file to loan coordinator within UAMCO to complete application, facilitate collection of necessary documents and statements, interact with loan processor. From this point I communicate status and answer client questions they may have until funding of mortgage.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis C 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
January 30, 2017 - Present
CLG LLC
Office #1: 4821 E 2nd Street, Long Beach, CA 90803RIA
CRD#: 282605
Long Beach, CA
Past
June 29, 2023 - December 31, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LONG BEACH, CA
Past
September 2, 2014 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LONG BEACH, CA
Past
July 18, 2014 - December 31, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
LONG BEACH, CA
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".
CL
CLG LLC
CLG LLC | MORAN, HEISING, MCELRAVEY & SOWDER LLC | LEGACY FINANCIAL | INTEGRITY FINANCIAL ADVISORS, LLC | COPIAM ASSET MANAGEMENT | CLG WEALTH MANAGEMENT
CRD#: 282605 / SEC#: 801-108414
RIA
Registered Investment Advisory firm - (9/29/2016 Approved)California
Registered Investment Advisory firm - (4/18/2018 Terminated)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.Highlighted states indicate IAR registrations
IAR
California(1/30/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CL
CLG LLC
CLG LLC | MORAN, HEISING, MCELRAVEY & SOWDER LLC | LEGACY FINANCIAL | INTEGRITY FINANCIAL ADVISORS, LLC | COPIAM ASSET MANAGEMENT | CLG WEALTH MANAGEMENT
CRD#: 282605 / SEC#: 801-108414
RIA
Registered Investment Advisory firm - (9/29/2016 Approved)California
Registered Investment Advisory firm - (4/18/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4821 E 2nd Street, Long Beach, CA 90803
Mailing Address
Phone number
(310) 329-5150
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,539 |
| AUM (Assets Under Management) | $ 953,822,025 |
Red Flags
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