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James Steven Smola

Cetera Investment Advisers LLC

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About James Steven Smola

James Smola is a financial advisor with Cetera Investment Advisers LLC. James has been in the industry since 1993 and is registered with the state of Ohio. James is a Series 7 and Series 66 licensed professional and is experienced in offering fixed life, annuities and LTC. James also is part owner of GPS Financial Group, LLC, an investment related company.

Firm Information

James Smola is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a financial services firm headquartered in Schaumburg, Illinois. The firm offers a wide range of financial planning and investment advisory services to individuals, corporations, pension plans, and charitable organizations. Cetera manages over $104 billion in assets for clients. The firm has a large network of licensed financial advisors and investment advisory representatives, serving over 423,000 clients across the country.
Cetera Investment Advisers LLC

1450 AMERICAN LANE

SCHAUMBURG, IL 60173-2096

$104.47B

Assets Under Management

16,618

Total Clients

7,280

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Smola’s Registration & Firm History

OH

06/29/2023 - Present

Cetera Investment Advisers LLC (AVON OH)

OH

01/04/1994 - 03/07/2012

ROYAL ALLIANCE ASSOCIATES, INC. (AVON OH)

MN

02/08/1993 - 02/16/1993

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

02/08/1993 - 02/16/1993

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 04/02/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/04/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/04/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Steven Smola.
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