Nicholas P. Smutney

CETERA INVESTMENT ADVISERS LLC

BRIDGEVILLE, PA 15017

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CRD#: 6772063

Professional summary

Nicholas Patrick Smutney, CFP®, who also goes by Nicholas Smutney, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bridgeville, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Bridgeville, Pennsylvania.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Nicholas has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas Smutney

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: 4/2018 APX NUMBER OF HOURS PER WEEK: 6 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: DSF WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ACTIVELY MANAGING ALL ASPECTS OF RETIREMENT FOR CLIENTS START DATE: 2/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: AID IN PREPARING FINANCIAL PLANS AND RECOMMENDATIONS FOR NEW AND EXISTING CLIENTS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Patrick Smutney's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

February 22, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1195 Washington Pike Ste 102, Bridgeville, PA 15017

RIA

CRD#: 105644

BRIDGEVILLE, PA

Current

February 22, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1195 Washington Pike Ste 102, Bridgeville, PA 15017

CRD#: 13572

Bridgeville, PA

Past

October 7, 2022 - January 29, 2024

STRATEGIC WEALTH INVESTMENT GROUP, LLC

RIA

CRD#: 165474

Tampa, FL

Past

January 24, 2020 - June 8, 2022

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PITTSBURGH, PA

Past

January 24, 2020 - June 8, 2022

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

December 26, 2018 - December 17, 2019

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

KITTANNING, PA

Past

December 26, 2018 - December 17, 2019

CITIZENS SECURITIES, INC.

CRD#: 39550

KITTANNING, PA

Past

August 21, 2017 - October 29, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PITTSBURGH, PA

Past

June 8, 2017 - October 29, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PITTSBURGH, 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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(9/16/2024)

Maryland
(8/7/2024)

Massachusetts
(9/26/2025)

New York
(8/28/2024)

North Carolina
(10/8/2024)

Ohio
(10/8/2024)

Pennsylvania
(2/22/2024)

IAR

Pennsylvania
(2/22/2024)

Virginia
(1/30/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/18/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/8/2017

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Nicholas P. Smutney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Patrick Smutney's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

STRATEGIC WEALTH INVESTMENT GROUP, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/18/2017

SIE

Date: 10/1/2018

Series 7

Date: 6/8/2017

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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