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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
South Carolina 1/17/2013

B
Louisiana 1/3/2023

B
Tennessee 8/25/2023

B
Maine 6/16/2023

B
Texas 3/21/2022

B
Maryland 3/21/2022

IA
Texas 3/21/2022

B
Massachusetts 6/22/2009

B
Utah 6/25/2024

B
Michigan 3/21/2022

B
Virginia 3/21/2022

B
Mississippi 6/27/2024

B
Washington 5/20/2024

B
Nevada 3/21/2022

SRO Registrations

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)
th hidden textth hidden textNameLocation
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
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B
Broker
IA
Investment Adviser
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.