Stephen Richard Smith
Investment adviser representative at Cetera Investment Advisers LLC
10 yearsExperience
2 statesRegistered in
$256.8BFirm assets
42 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Cetera Investment Advisers LLCMar 2017 to now
- Cetera Investment Services LLCMar 2017 to now
- Regions BankMar 2017 to now
- Bbva Securities Inc.Feb 2016 to Mar 2017
- Bbva Wealth Solutions Inc.Feb 2016 to Mar 2017
- Bbva Compass Insurance Agency, Inc.Jan 2016 to Mar 2017
- Compass BankJan 2016 to Mar 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law1998
- Series 65 · Uniform Investment Adviser Law1998
State registrations
Registered as an investment adviser representative in 2 states (FL, TX).
Cetera Investment Advisers LLC
$256.8BAssets managed
813,961Clients
10,109Advisers
42 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2632131
- Firm CRD
- 105644