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Detailed Report
KEITH ARTHUR SMALL
CRD#: 3013759
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 520 BEDFORD ROAD
PLEASANTVILLE, NY 10570
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 520 BEDFORD ROAD
PLEASANTVILLE, NY 10570
Registration History
199820002002200420062008201020122014201620182020202220242026IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2010 - Present (15 years)BCETERA FINANCIAL SPECIALISTS LLC (CRD# 10358)2009 - Present (15 years)BLEGEND EQUITIES CORPORATION (CRD# 30999)2015 - 2016 (<1 year)BOPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD# 7834)2003 - 2009 (5 years)BMFS FUND DISTRIBUTORS, INC. (CRD# 31052)2000 - 2003 (3 years)BEATON VANCE DISTRIBUTORS, INC. (CRD# 37731)1998 - 2000 (1 year)BFIS SECURITIES, INC. (CRD# 30533)1998 - 1998 (<1 year)IAGENWORTH FINANCIAL ADVISERS CO... (CRD# 105644)2009 - 2009 (<1 year)
License(s)

State Registrations

B
Alaska 6/24/2022
B
New Hampshire 6/22/2009
B
Arizona 3/21/2022
B
New Jersey 6/22/2009
B
California 3/21/2022
B
New York 6/22/2009
B
Colorado 3/21/2022
IA
New York 9/22/2022
B
Connecticut 6/22/2009
B
North Carolina 8/30/2022
B
Delaware 3/21/2022
B
North Dakota 1/3/2023
B
Florida 8/1/2013
B
Ohio 3/22/2022
B
Georgia 3/21/2022
B
Pennsylvania 3/21/2022
B
Illinois 6/16/2023
B
Rhode Island 4/4/2025
B
Louisiana 1/3/2023
B
South Carolina 1/17/2013
B
Maine 6/16/2023
B
Tennessee 8/25/2023
B
Maryland 3/21/2022
B
Texas 3/21/2022
B
Massachusetts 6/22/2009
IA
Texas 3/21/2022
B
Michigan 3/21/2022
B
Utah 6/25/2024
B
Mississippi 6/27/2024
B
Virginia 3/21/2022
B
Nevada 3/21/2022
B
Washington 5/20/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
520 BEDFORD ROAD, PLEASANTVILLE, NY 10570
YONKERS, NY
Registered with this firm since 1/4/2010
B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
520 BEDFORD ROAD, PLEASANTVILLE, NY 10570
YONKERS, NY
Registered with this firm since 6/22/2009
Previous Registration(s)
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B
 04/24/2015 - 01/25/2016 LEGEND EQUITIES CORPORATION (CRD#:30999) Schaumburg, IL
IA
 09/28/2009 - 12/31/2009 GENWORTH FINANCIAL ADVISERS CORPORATION (CRD#:105644) SCHAUMBURG, IL
B
 10/06/2003 - 02/03/2009 OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD#:7834) NEW YORK, NY
B
 05/31/2000 - 06/19/2003 MFS FUND DISTRIBUTORS, INC. (CRD#:31052) BOSTON, MA
B
 09/16/1998 - 05/24/2000 EATON VANCE DISTRIBUTORS, INC. (CRD#:37731) BOSTON, MA
B
 08/04/1998 - 08/26/1998 FIS SECURITIES, INC. (CRD#:30533) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.