Richard Smith
Richard Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Scottsdale, AZ, with 32 years of industry experience. Richard 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
Firm Size
IM Fee
Assets Under Management
Location
7373 N Scottsdale Rd Ste A250, Scottsdale, AZ, 85253
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Richard sells life insurance, annuities, and long-term care products as an insurance agent since 1993, dedicating a few hours per week. He also owns rental property, spending nearly full-time on landlord duties, and is a financial advisor for FFEC Wealth Partners and a financial professional for Kierland Financial Group, dedicating nearly full-time to each.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
First Financial Equity Corporation
First Financial Equity CorporationBroker
Mcdonald Investments INC.Broker
U.S. Bancorp Piper Jaffray INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations16 states
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