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Stanley Smith

Cetera Investment Advisers LLC
43 Years of Experience
Boca Raton, FL
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Stanley Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Boca Raton, FL, with 43 years of industry experience. Stanley is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

225 NE Mizner Blvd, Suite 550, Boca Raton, FL, 33432

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2005
Closed-No Action
Criminal
October 1994
Final Disposition
Criminal
February 1988
Final Disposition
Criminal
January 1980
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stanley is involved with the Stanley J. Smith Trust, dealing with mortgages, refinancing, and bridge loans related to real estate. This activity requires minimal time.

Employment History
Current Registrations
Cetera Investment Advisers LLC
April 2023 - Present · 3 yrs 6 mos
Cetera Wealth Services, LLCBroker
August 2019 - Present · 7 yrs 2 mos
Previous Registrations
Cetera Advisor Networks LLC
March 2021 - June 2023 · 2 yrs 3 mos
Summit Financial Group INC
February 2003 - May 2021 · 18 yrs 3 mos
Summit Brokerage Services, INC.Broker
February 2003 - September 2019 · 16 yrs 7 mos
Wachovia Securities Financial Network, INC.Broker
January 2001 - February 2003 · 2 yrs 1 mo
Wachovia Securities Financial Network, INC.
January 2001 - February 2003 · 2 yrs 1 mo
Jwgenesis Securities, INC.Broker
October 1994 - January 2001 · 6 yrs 3 mos
Corporate Securities Group, INC.Broker
October 1991 - October 1994 · 3 yrs
Jw Charles Securities, INC.Broker
January 1991 - October 1991 · 9 mos
Chatfield Dean & CO., INC.Broker
December 1990 - January 1991 · 1 mo
The Stuart-James Company, IncorporatedBroker
July 1986 - December 1990 · 4 yrs 5 mos
First Jersey Securities, INC.Broker
September 1983 - July 1986 · 2 yrs 10 mos
State Registrations50 states
AKALARAZCACOCTDCDEFLGAIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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