Carla Smith
Carla Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in North Baldwin, NY, with 27 years of industry experience. Carla 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
North Baldwin, NY
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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
Carla is a trustee for two trusts, responsible for financial obligations and investment maintenance. She also owns RomeroSmith Solutions, providing tax preparation and management, and sells equity indexed annuities through Avantax, dedicating about 10-20% of her time to these sales.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Avantax Advisory Services
Avantax Investment Services, INC.Broker
Chase Investment Services CORP.Broker
State Registrations9 states
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