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Susan M Smith

Cetera Investment Advisers LLC

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About Susan M Smith

Susan Smith is a financial advisor with Cetera Investment Advisers LLC and The Patriot Financial Group, LLC. Susan is registered to provide investment advice in California, Florida, Maine, Massachusetts, New Hampshire, North Carolina, Rhode Island, and Virginia. Susan holds the Series 7TO, Series 66, and SIE licenses. Susan has been in the securities industry since 2022 and has experience working with individuals and businesses. Susan's specialties include financial planning, portfolio management, and pension consulting.

Firm Information

Susan Smith is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a large financial advisory firm with over 6,600 registered representatives and investment advisor representatives. Headquartered in Schaumburg, Illinois, Cetera provides a wide range of financial services, including financial planning, portfolio management, and pension consulting. The firm manages over $104 billion in assets and serves a diverse client base, including individuals, businesses, charitable organizations, and pension plans.
Cetera Investment Advisers LLC

311 MAIN ST

WORCESTER, MA 01608

$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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Susan Smith’s Registration & Firm History

MA

05/24/2023 - Present

Cetera Investment Advisers LLC (WORCESTER MA)

MA

08/19/2022 - 04/25/2023

LPL FINANCIAL LLC (WEST BOYLSTON MA)

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Licenses & Designations

BOTH

Issued 11/28/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 8/19/2022

Series 7TO - General Securities Representative Examination

BC

Issued 5/19/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Susan M Smith.
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