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KRISTOPHER B SMITH
KRISTOPHER B. SMITH, KRISTOPHER BEAU SCOTT SMITH
CRD#: 4199159
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1 North 2nd Street, Suite 114
Fargo, ND 58102
CETERA ADVISOR NETWORKS LLCCRD#: 13572 1 North 2nd Street, Suite 114
Fargo, ND 58102
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2006 (4 years)2 FIRMS2006 - 2016 (9 years)2 FIRMS2016 - 2022 (5 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2022 - Present (2 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2022 - 2023 (1 year)
Disclosure(s)
View By:
2/20/2018
Regulatory
Final
11/22/2016
Regulatory
Final
10/26/2016
Customer Dispute
Pending
5/26/2016
Employment Separation After Allegations
2/29/2016
Regulatory
Final
License(s)

State Registrations

B
Alaska 4/20/2022

B
New Mexico 4/20/2022

B
Arizona 8/24/2022

B
North Dakota 4/20/2022

B
California 4/20/2022

IA
North Dakota 6/29/2023

B
Florida 7/13/2022

B
South Dakota 4/20/2022

B
Georgia 4/20/2022

B
Washington 4/20/2022

B
Minnesota 4/20/2022

B
Wisconsin 4/20/2022

B
Montana 4/20/2022

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)
1 North 2nd Street, Suite 114, Fargo, ND 58102
Registered with this firm since 6/29/2023

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
1 North 2nd Street, Suite 114, Fargo, ND 58102
Registered with this firm since 4/20/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/20/2022 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
IA
06/17/2016 - 04/20/2022 FIRST FINANCIAL EQUITY CORPORATION (CRD#:16507) Fargo, ND
B
06/01/2016 - 04/20/2022 FIRST FINANCIAL EQUITY CORPORATION (CRD#:16507) Fargo, ND
IA
08/12/2006 - 06/21/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) FARGO, ND
B
08/12/2006 - 06/21/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) FARGO, ND
IA
03/18/2002 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) FARGO, ND
B
02/06/2002 - 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) FARGO, ND
For additional information about investment advisers or broker-dealers, please visit
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.