Louis Smalle
Louis Smalle is a registered investment advisor at Cetera Investment Advisers LLC, based in Centennial, CO, with 48 years of industry experience. Louis 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
Centennial, CO
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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
Louis owns Profit Concepts, an insurance sales business, since 2018, dedicating minimal time. He also works as an agent selling life, health, annuities, and long-term care insurance with various companies, spending about a quarter of his time on this activity.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLCBroker
Previous Registrations
Cetera Advisors LLC
Profit Concepts
Mutual Service Corporation
Mutual Service CorporationBroker
Calvert Securities CorporationBroker
Planner's Independent Management, INC.Broker
Korn, Womack, Stern and Associates, INC.Broker
Monarch Financial Services, INC.Broker
Concord Assets Securities, INC.Broker
Blyth Eastman Dillon & CO. IncorporatedBroker
Shearson Hayden Stone INC.Broker
Bache & CO IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
State Registrations8 states
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