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Nathan M. Smith

CETERA PLANNING PARTNERS
DUBUQUE, IA 52002-2801
Some features on this profile are disabled
CRD#: 7656938
NS
Nathan M SmithCETERA PLANNING PARTNERS

Professional summary

Nathan M Smith, who also goes by Nathan Michael Gehl, Nathan Gehl, Nathan Michael Smith, is a registered financial advisor currently at CETERA PLANNING PARTNERS located in Dubuque, Iowa and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Nathan has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Aliases

Nathan Michael Gehl | Nathan Gehl | Nathan Michael 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. NAME OF OTHER BUSINESS: STARBUCKS CORPORATION INVESTMENT RELATED: NO ADDRESS: DUBUQUE, IA 52002 NATURE OF BUSINESS: RETAIL COFFEE SHOP START DATE: 03/2022 POSITION/TITLE/RELATIONSHIP: BARISTA APX NUMBER OF HOURS PER WEEK: 16 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: BARISTA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan M Smith'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®
None

Experience

Current

September 29, 2026 - Present

CETERA PLANNING PARTNERS

Office #1: 3390 Asbury Road, Dubuque, IA 52002-2801Office #2: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
RIA
CRD#: 129625
DUBUQUE, IA
Current

December 22, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 13572
EL SEGUNDO, CA
Past

December 22, 2025 - September 29, 2026

AVANTAX PLANNING PARTNERS, INC.

RIA
CRD#: 106237
EL SEGUNDO, CA
Past

July 15, 2024 - November 30, 2025

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Davenport, IA
Past

May 15, 2023 - November 30, 2025

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Davenport, IA

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".
CP
CETERA PLANNING PARTNERS
CETERA PLANNING PARTNERS | THE RETIREMENT PLANNING GROUP, LLC | THE RETIREMENT PLANNING GROUP, INC.

CRD#: 129625 / SEC#: 801-62655

RIA
Registered Investment Advisory firm - (1/16/2004 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
Iowa
(12/22/2025)
IAR
Iowa
(9/29/2026)

Exams

What does exam status mean?
State Security Law Exam
RR
IAR
Series 66
Status Unavailable
Passed: 7/13/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 7/29/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Status Unavailable
Passed: 5/13/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 2/27/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CP
CETERA PLANNING PARTNERS
CETERA PLANNING PARTNERS | THE RETIREMENT PLANNING GROUP, LLC | THE RETIREMENT PLANNING GROUP, INC.

CRD#: 129625 / SEC#: 801-62655

RIA
Registered Investment Advisory firm - (1/16/2004 Approved)
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Contact information

Main Address
11460 Tomahawk Creek Pkwy Suite 400, Leawood, KS 66211
Mailing Address
Phone number
(913) 498-8898
Established
Firm type
Fiscal year end
# of Employees
78

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CETERA PLANNING PARTNERS AUGUST 2026 (9/1/2026)

Regulatory assets under management

Total Number of Accounts14,107
AUM (Assets Under Management)$ 4,164,758,846

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/19/2026
Cover Page
Report
11/24/2025
Cover Page
Report
08/08/2024
Cover Page
Report
11/27/2023
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.

Company Information

CETERA PLANNING PARTNERS

CRD#: 129625Dubuque, IA 52002-2801

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