Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott Paul Smith is an investment advisor representative at Cetera Investment Advisers LLC. Scott has been in the industry since 2004 and holds a Series 6, Series 7, Series 24, Series 26, Series 63 and Series 65 license. Scott is registered in Alabama, Florida, Illinois, Michigan, North Carolina and South Carolina. Scott previously worked at Pruco Securities, LLC., State Farm VP Management Corp., and Farmers Financial Solutions, LLC. Cetera Investment Advisers LLC is a registered investment advisor with over 100 billion dollars in assets under management. The firm provides a variety of financial services, including financial planning, pension consulting, portfolio management for businesses and individuals, and selection of other advisors. The firm is headquartered in Schaumburg, Illinois.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NC
10/24/2024 - Present
Cetera Investment Advisers LLC (Waxhaw NC)
NC
11/26/2014 - 07/18/2023
PRUCO SECURITIES, LLC. (CHARLOTTE NC)
IL
02/05/2013 - 10/17/2014
STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)
MI
01/05/2011 - 12/31/2012
FARMERS FINANCIAL SOLUTIONS, LLC (MONROE MI)
MI
06/14/2004 - 12/31/2010
FARMERS FINANCIAL SOLUTIONS, LLC (MONROE MI)
IA
Issued 02/19/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/14/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/07/2018
Series 24 - General Securities Principal Examination
BC
Issued 07/22/2016
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2016
Series 7 - General Securities Representative Examination
BC
Issued 06/11/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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