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Detailed Report
MICHEL D. SMITH
MIKE D. SMITH, MIKE SMITH
CRD#: 4825208
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 500 108TH AVE NE STE 765
BELLEVUE, WA 98004
CETERA ADVISOR NETWORKS LLCCRD#: 13572 500 108TH AVE NE STE 765
BELLEVUE, WA 98004
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2004 - 2011 (7 years)2 FIRMS2011 - 2021 (9 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (2 years)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - Present (3 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - 2023 (2 years)
License(s)

State Registrations

B
Alabama 7/20/2021
B
Minnesota 6/9/2021
B
Arizona 6/9/2021
B
Montana 6/9/2021
B
Arkansas 4/11/2024
B
Nevada 6/9/2021
B
California 6/9/2021
B
New Hampshire 3/6/2024
B
Colorado 6/9/2021
B
New Jersey 6/9/2021
B
Connecticut 1/2/2025
B
New York 6/9/2021
B
Delaware 7/5/2024
B
North Carolina 12/2/2022
B
District of Columbia 4/7/2023
B
North Dakota 10/3/2022
B
Florida 6/29/2021
B
Ohio 1/13/2022
B
Georgia 5/10/2022
B
Oklahoma 5/1/2024
B
Hawaii 4/27/2022
B
Oregon 6/9/2021
B
Idaho 6/9/2021
B
Pennsylvania 6/9/2021
B
Illinois 6/9/2021
B
Rhode Island 3/6/2024
B
Indiana 6/9/2021
B
South Carolina 6/9/2021
B
Iowa 1/18/2022
B
Texas 6/9/2021
B
Kansas 6/9/2021
IA
Texas 3/20/2023
B
Kentucky 4/2/2024
B
Utah 6/9/2021
B
Louisiana 3/14/2024
B
Virginia 6/9/2021
B
Maryland 1/9/2025
B
Washington 6/22/2021
B
Massachusetts 1/4/2023
IA
Washington 6/1/2023
B
Michigan 6/5/2024
B
Wisconsin 2/21/2023

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)
500 108TH AVE NE STE 765, BELLEVUE, WA 98004
Registered with this firm since 3/20/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
500 108TH AVE NE STE 765, BELLEVUE, WA 98004
Registered with this firm since 6/9/2021
Previous Registration(s)
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IA
 06/09/2021 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) BELLEVUE, WA
IA
 08/15/2011 - 06/14/2021 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) BELLEVUE, WA
B
 08/05/2011 - 06/09/2021 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) BELLEVUE, WA
IA
 08/23/2004 - 08/09/2011 AXA ADVISORS, LLC (CRD#:6627) SEATTLE, WA
B
 07/26/2004 - 08/09/2011 AXA ADVISORS, LLC (CRD#:6627) SEATTLE, WA
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.