JS
James M. Smith
CETERA INVESTMENT ADVISERS LLC
HONOLULU, HI 96813
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CRD#: 6562827
JS
Professional summary
James Matthew Smith JR, who also goes by James Matthew Smith, James Smith, Matt Smith, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Honolulu, Hawaii and CETERA WEALTH SERVICES, LLC located in Honolulu, Hawaii.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. James has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Matthew Smith | James Smith | Matt 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) A BITE TO EAT, INC. POSITION: President NATURE: A Bite To Eat, Inc (ABTE) is a small non-profit whose mission is to provide food and blankets to homeless primarily in downtown Honolulu. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/29/2015 ADDRESS: 1188 Bishop Street, Ste 2105, Honolulu HI 96813, United States DESCRIPTION: As Executive Director I collect donations, purchase the food or food cards and distribute to the homeless. As the organization is very small there are no employees or volunteers yet. 2) CS ACCOUNTING & TAX SERVICES, INC POSITION: President NATURE: Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/29/2011 ADDRESS: 1188 Bishop Street, Ste 2105, Honolulu HI 96813, United States DESCRIPTION: I supervise all aspects of growing, managing and marketing the company including staffing decisions as well as client services and customer relationship building. 3) CS PROPERTY HOLDINGS LLC POSITION: Member NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/12/2016 ADDRESS: 1188 Bishop Street, Ste 2105, Honolulu HI 96813, United States DESCRIPTION: Decision maker for all aspects. Coordinate maintenance, collect rent, advertise vacancy if needed. 4) VISION WEALTH STRATEGIES, LLC POSITION: Member NATURE: This entity is used solely for the purpose of investment services offered through Avantax. For example, marketing and branding. INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 40 START DATE: 01/03/2018 ADDRESS: 1188 Bishop Street, Ste 2105, Honolulu HI 96813, United States DESCRIPTION: I do the branding, marketing and promotion of the company, including client meetings. All investment services are offered through my affiliation with Avantax. 5) BNI HAWAII CHAPTER 808 ALAKAI NA KOA POSITION: Secretary / Treasurer NATURE: A business networking group comprised of small business owners supporting each other through education, encouragement and source of referrals. No profit motive. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 12/07/2022 ADDRESS: 1188 Bishop Street, Ste 2105, Honolulu HI 96813, United States DESCRIPTION: Record attendance, be part of the leadership team, assist with tracking payment of $15 monthly cost from each member to pay for meeting room rental.
CRS (Client Relationship Summary) - RIA
Click below to view James Matthew Smith JR'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1188 Bishop Street Ste 2310, Honolulu, HI 96813RIA
CRD#: 105644
HONOLULU, HI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1188 Bishop Street Ste 2105, Honolulu, HI 96813BD
CRD#: 13572
Honolulu, HI
Past
December 11, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Honolulu, HI
Past
December 11, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Honolulu, HI
Past
September 20, 2019 - December 23, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
HONOLULU, HI
Past
May 30, 2018 - May 20, 2020
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
HONOLULU, HI
Past
May 30, 2018 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
HONOLULU, HI
Past
July 7, 2017 - June 8, 2018
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Honolulu, HI
Past
November 30, 2015 - June 8, 2018
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Honolulu, HI
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
Hawaii(9/5/2025)
IAR
Hawaii(9/5/2025)
RR
Nevada(9/18/2025)
Exams
State Security Law Exam
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
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.
