AS
Andrew M. Smoker
CETERA INVESTMENT ADVISERS LLC
EPHRATA, PA 17522
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CRD#: 6078487
AS
Professional summary
Andrew M Smoker, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ephrata, Pennsylvania and CETERA FINANCIAL SPECIALISTS LLC located in Leola, Pennsylvania.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Andrew 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) SMOKER WEALTH MANAGEMENT, INVESTMENT-RELATED, SAME ADDRESS AS REGISTERED LOCATION, INVESTMENT SERVICES, START DATE 06/01/2012, 30-40 HRS/WEEK, REGISTERED REPRESENTATIVE: 2) NAME OF OTHER BUSINESS: SMOKER & COMPANY INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 01/2021, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: TAX PREP AND PLANNING SERVICES; 3)NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE ; START DATE: 02/2019 ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT ; BRIEF DESCRIPTION OF DUTIES: SELLS PROPERTY & CASUALTY INSURANCE 4)NAME OF OTHER BUSINESS: SMOKER PROPERTY MANAGEMENT ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: COMMERCIAL AND RESIDENTIAL PROPERTY MANAGEMENT ; START DATE: 02/2019 ; POSITION/TITLE/RELATIONSHIP: ASST PROPERTY MANAGER ; APX NUMBER OF HOURS PER WEEK: 5-10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 5-10 ; BRIEF DESCRIPTION OF DUTIES: SHOW RENTALS, TAKE INFORMATION, PAYMENTS AND DELIVER EVICTION NOTICES
CRS (Client Relationship Summary) - RIA
Click below to view Andrew M Smoker'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®
Experience
Current
October 13, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 431 West Main Street, Ephrata, PA 17522Office #2: 3506 Perkiomen Avenue, Reading, PA 19606Office #3: 662 Furnace Hills Pike, Lititz, PA 17543Office #4: 49 E. Main Street, Leola, PA 17540Office #5: 220 N Duke St, Lancaster, PA 17602Office #6: 24 South Main St, Manheim, PA 17545RIA
CRD#: 105644
EPHRATA, PA
Current
June 30, 2014 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 49 E. Main Street, Leola, PA 17540Office #2: 431 West Main Street, Ephrata, PA 17522Office #3: 3506 Perkiomen Avenue, Reading, PA 19606Office #4: 662 Furnace Hills Pike, Lititz, PA 17543Office #5: 24 South Main St, Manheim, PA 17545Office #6: 220 N Duke St, Lancaster, PA 17602BD
CRD#: 10358
Leola, PA
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
Arkansas(10/26/2018)
RR
Colorado(1/2/2021)
RR
Delaware(7/5/2017)
RR
Florida(1/13/2020)
RR
Georgia(10/22/2018)
RR
Indiana(5/29/2019)
RR
Kentucky(4/30/2020)
RR
Louisiana(10/22/2018)
RR
Maine(1/3/2023)
RR
Maryland(7/5/2017)
RR
Massachusetts(3/21/2017)
RR
New Jersey(4/16/2025)
RR
New Mexico(8/20/2019)
RR
New York(7/5/2017)
RR
Ohio(1/8/2020)
RR
Oregon(6/22/2022)
IAR
Pennsylvania(10/13/2014)
RR
Pennsylvania(9/2/2015)
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#: 105644Ephrata, PA 17522TRUST BUT VERIFY
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