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Stanley Smith
42 Years of Experience
Boca Raton, FL
4 DisclosuresBroker
Stanley Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Boca Raton, FL, with 42 years of industry experience. Stanley operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
225 NE Mizner Blvd, Suite 550, Boca Raton, FL, 33432
Get directionsHistory
Regulatory History (4)
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Customer Dispute
February 2005Closed-No Action
Criminal
October 1994Final Disposition
Criminal
February 1988Final Disposition
Criminal
January 1980Final Disposition
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 5 mos
Cetera Wealth Services, LLCBroker
August 2019 - Present · 7 yrs 1 mo
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
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.