Richard Smith
Richard Smith is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Forney, TX, with 30 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
Forney, TX
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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 is involved in several business activities, including rental property ownership/management, coaching baseball, tax preparation, and financial/retirement planning. He also has the ability to sell various annuity products through Avantax Insurance Agency, LLC.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Avantax Advisory Services
H.D. Vest Advisory Services, INC
Avantax Investment Services, INC.Broker
Sunamerica Securities, INC.
Sunamerica Securities, INC.Broker
H.D. Vest Investment Securities, INC.Broker
Western American Securities CorporationBroker
Signal Securities, INC.Broker
H.D. Vest Investment Securities, INC.Broker
State Registrations8 states
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.