Individual Firm
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GARY ABEN SMITH
CRD#: 1852366
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 310 WOODS AVE
OCEANSIDE, NY 11572
OCEANSIDE, NY 11572
CETERA ADVISOR NETWORKS LLCCRD#: 13572 310 WOODS AVE
OCEANSIDE, NY 11572
OCEANSIDE, NY 11572
0
Disclosures
30
Years of Experience
View By:
State Registrations
B
Arizona 2/12/2020
B
Nevada 2/12/2020
B
California 2/12/2020
B
New Jersey 9/3/2013
B
Colorado 2/12/2020
B
New York 9/3/2013
B
Connecticut 9/3/2013
IA
New York 6/29/2023
B
Delaware 2/12/2020
B
North Carolina 9/3/2013
B
Florida 9/3/2013
B
Pennsylvania 1/8/2016
B
Illinois 2/12/2020
B
South Carolina 1/12/2015
B
Maine 2/12/2020
B
Texas 2/12/2020
B
Massachusetts 9/9/2016
IA
Texas 6/29/2023
B
Missouri 11/2/2018
B
Virginia 9/9/2016
B
Nebraska 6/21/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 9/3/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/31/2021 - 06/29/2023 | EL SEGUNDO, CA | |
B | 08/01/2003 - 09/03/2013 | OCEANSIDE, NY | |
B | 11/27/1995 - 08/01/2003 | NEW YORK, NY | |
IA | 11/27/1995 - 07/23/2003 | OCEANSIDE, NY | |
B | 01/03/1995 - 11/22/1995 | SCOTTSDALE, AZ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.