Darren P. Smith
CETERA INVESTMENT ADVISERS LLC | Financial Advisor
LATROBE, PA 15650
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CRD#: 7034969
Professional summary
Darren Patrick Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Latrobe, Pennsylvania and CETERA FINANCIAL SPECIALISTS LLC located in Latrobe, Pennsylvania.
Darren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Darren has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
What are your service offerings?
Investments
Retirement Planning Strategies
Insurance
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) PAKOS WEALTH MANAGEMENT, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, JUNIOR FINANCIAL PROFESSIONAL, DBA FOR INVESTMENTS, 40H/WEEK, SINCE 01/2025. 2) RENTAL PROPERTY, INVESTMENT RELATED, GREENSBURG, PA, LANDLORD, 0/HWEEK, SINCE 12/2018.
CRS (Client Relationship Summary) - RIA
Click below to view Darren Patrick 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 14, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 752 Lloyd Ave, Latrobe, PA 15650RIA
CRD#: 105644
LATROBE, PA
Current
January 14, 2025 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 752 Lloyd Ave, Latrobe, PA 15650BD
CRD#: 10358
Latrobe, PA
Past
March 15, 2021 - December 31, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Monroeville, PA
Past
October 24, 2019 - January 2, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Monroeville, 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
Pennsylvania(1/14/2025)
IAR
Pennsylvania(1/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/24/2019
General Securities Representative ExaminationGeneral 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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Company Information
CETERA INVESTMENT ADVISERS LLC
Financial AdvisorCRD#: 105644Latrobe, PA 15650TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
