MS
Michael T. Smith
CETERA INVESTMENT ADVISERS LLC
MT. ARLINGTON, NJ 07856
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CRD#: 7582183
MS
Professional summary
Michael Thomas Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mt. Arlington, New Jersey and CETERA WEALTH SERVICES, LLC located in Mount Arlington, New Jersey.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Michael has worked at 4 firms and has passed the Series 66, Series 7TO and SIE 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) JEFFERSON TOWNSHIP CHAMBER OF COMMERCE POSITION: Member NATURE: Group of businesses in Jefferson Township and surrounding towns that gather to network and develop relationships. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2019 ADDRESS: PO Box 64, Lake Hopatcong NJ 07849, United States DESCRIPTION: No duties or responsibilities outside of attending events. 2) NISIVOCCIA LLP POSITION: Principal NATURE: CPA firm that offers audit, accounting, and tax services to a wide variety of clients. INVESTMENT RELATED: No NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 06/22/2009 ADDRESS: 200 Valley Road Suite 300, Mount Arlington NJ 07856, United States DESCRIPTION: -Provide assurance and consulting services to non-profit organizations.-Provide assurance servicesfor employee benefit plans.-Preparation and review of Form 990 for non-profitorganizations.-Manage commercial auditdepartment and scheduling 3) NEW JERSEY SOCIETY OF CERTIFIED PUBLIC ACCOUNTANTS POSITION: Member NATURE: NJCPA represents the majority of New Jersey CPAs in public practice, business & industry, government and education andsupports its members through a variety of education, networking, leadership and volunteer initiatives. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2015 ADDRESS: 105 Eisenhower Parkway Suite 300, Roseland NJ 07068, United States DESCRIPTION: No duties or responsibilities. Annual membership fee is paid to be a member of the NJCPA. 4) AMERICAN INSTITUTE OF CERTIFIED PUBLIC ACCOUNTANTS POSITION: Member NATURE: Provides various resources to various aspects of the accounting profession. The AICPA offers tools such as continuing education, news articles, industry guidelines and standards, etc. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 100 Princeton South Suite 200, Ewing NJ 08628, United States DESCRIPTION: None. An annual membership fee is paid to be a member. 5) NISIVOCCIA WEALTH ADVISORS POSITION: Partner NATURE: This is the wealth management and financial planning entity used for investment-related brokerage and advisory client services. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 200 Valley Road, Suite 300, Mount Arlington NJ 07856, United States DESCRIPTION: Client oversight and developing new business
CRS (Client Relationship Summary) - RIA
Click below to view Michael Thomas 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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 200 Valley Road Suite 300, Mt. Arlington, NJ 07856RIA
CRD#: 105644
MT. ARLINGTON, NJ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 200 Valley Road Suite 300, Mount Arlington, NJ 07856BD
CRD#: 13572
MOUNT ARLINGTON, NJ
Past
September 16, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Mt. Arlington, NJ
Past
September 6, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MOUNT ARLINGTON, NJ
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
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
Nebraska(9/5/2025)
RR
New Jersey(9/5/2025)
IAR
New Jersey(9/5/2025)
RR
New Mexico(9/5/2025)
RR
New York(9/5/2025)
RR
Tennessee(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/29/2022
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
CRD#: 105644Mt. Arlington, NJ 07856TRUST BUT VERIFY
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