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Stephen Smith
27 Years of Experience
Fort Myers, FL
1 DisclosureBroker
Stephen Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Fort Myers, FL, with 27 years of industry experience. Stephen 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
8655 College Pkwy Sw, Fort Myers, FL, 33919
Get directionsHistory
Regulatory History (1)
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Customer Dispute
August 2024Pending
Other Business Activities
Stephen works as a football official during the fall, officiating 10-12 games.
Employment History
Current Registrations
Cetera Investment Advisers LLC
April 2017 - Present · 9 yrs 3 mos
Cetera Investment Services LLCBroker
March 2017 - Present · 9 yrs 4 mos
Previous Registrations
Bbva Wealth Solutions INC.
February 2016 - March 2017 · 1 yr 1 mo
Bbva Securities INC.Broker
February 2016 - March 2017 · 1 yr 1 mo
Allstate Financial Advisors, LLC
August 2015 - January 2016 · 5 mos
Allstate Financial Services, LLCBroker
August 2015 - January 2016 · 5 mos
Cetera Investment Advisers LLC
January 2014 - August 2015 · 1 yr 7 mos
Cetera Investment Services LLC
April 2013 - January 2014 · 9 mos
Cetera Investment Services LLCBroker
April 2013 - August 2015 · 2 yrs 4 mos
Bb&t Investment Services, INC.
October 2010 - April 2013 · 2 yrs 6 mos
Bb&t Investment Services, INC.Broker
September 2010 - April 2013 · 2 yrs 7 mos
Raymond James Financial Services Advisors, INC
May 2009 - September 2010 · 1 yr 4 mos
Raymond James Financial Services
June 2003 - October 2009 · 6 yrs 4 mos
Raymond James Financial Services, INC.Broker
June 2003 - September 2010 · 7 yrs 3 mos
Prudential Securities Incorporated
August 2000 - June 2003 · 2 yrs 10 mos
Prudential Securities IncorporatedBroker
June 1998 - June 2003 · 5 yrs
State Registrations10 states
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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.