KS
KS
Kristopher Smith
24 Years of Experience
Fargo, ND
5 DisclosuresBrokerSells Insurance
Kristopher Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Fargo, ND, with 24 years of industry experience. Kristopher 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
1 North 2nd Street, Suite 114, Fargo, ND, 58102
Get directionsHistory
Regulatory History (5)
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Regulatory
February 2018Final
Regulatory
November 2016Final
Customer Dispute
October 2016Pending
Employment Separation After Allegations
May 2016Regulatory
February 2016Final
Other Business ActivitiesSells Insurance
Kristopher works as a financial professional for FFEC Wealth Partners, dedicating full-time hours. He also owns KSCL LLC for tax purposes and works as an insurance agent selling life insurance.
Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 2 yrs 11 mos
Cetera Wealth Services, LLCBroker
April 2022 - Present · 4 yrs 1 mo
Previous Registrations
Cetera Advisor Networks LLC
April 2022 - June 2023 · 1 yr 2 mos
First Financial Equity Corporation
June 2016 - April 2022 · 5 yrs 10 mos
First Financial Equity CorporationBroker
June 2016 - April 2022 · 5 yrs 10 mos
UBS Financial Services INC.
August 2006 - June 2016 · 9 yrs 10 mos
UBS Financial Services INC.Broker
August 2006 - June 2016 · 9 yrs 10 mos
Piper Jaffray & CO.
March 2002 - August 2006 · 4 yrs 5 mos
Piper Jaffray & CO.Broker
February 2002 - August 2006 · 4 yrs 6 mos
State Registrations14 states
AKAZCAFLGAIDMNMTNDNENMSDWAWI
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.