Wendell Smith
Wendell Smith is a ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Wichita, KS, with 54 years of industry experience. Wendell is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
301 N Main St Ste 140, Wichita, KS, 67202
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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
Wendell is an independent insurance agent selling disability, fixed annuities, life/accident/health, and long-term care insurance, dedicating nearly full-time hours to this activity. He is also a registered representative and investment advisor representative (IAR) with DBA Financial Planning Concepts, Inc., spending minimal time providing investment advice. Finally, Wendell is a member of the Wichita Regional Chamber of Commerce, requiring minimal time commitment.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Tower Square Securities, INC.
Tower Square Securities, INC.Broker
Advantage Capital CorporationBroker
Travelers Equities Sales, INC.Broker
State Registrations6 states
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
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