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Charles Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Duquoin, IL, with 28 years of industry experience. Charles 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
330 Southtown Shopping Center, Duquoin, IL, 62832
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Regulatory History
Clean regulatory record
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 →Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2020 - Present · 5 yrs 11 mos
Cetera Investment Services LLCBroker
January 2013 - Present · 13 yrs 4 mos
Previous Registrations
Morgan Keegan & Company, INC.Broker
January 2006 - February 2013 · 7 yrs 1 mo
Fifth Third Securities, INC.Broker
February 2000 - January 2006 · 5 yrs 11 mos
Wedgewood Partners, INC.Broker
April 1997 - February 2000 · 2 yrs 10 mos
State Registrations14 states
ALCAFLIAILINKYLAMONCOHOKSCTN
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.