Cecelia M. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cecelia Martinez Smith, who also goes by Cecelia Martinez, Denise Cecelia Martinez, Denise Suzanne Martinez, Cecelia Suzanne Smith, was a registered financial professional .
Cecelia is a previously registered financial professional and started their career in finance in 2014. Cecelia had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2015 - November 1, 2017
STRATEGIC ADVISERS LLC
October 19, 2015 - October 31, 2017
FIDELITY BROKERAGE SERVICES LLC
November 25, 2014 - October 6, 2015
TD AMERITRADE, INC.
November 25, 2014 - October 6, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 27, 2014 - October 6, 2015
TD AMERITRADE, INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
