Individual Firm
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DONALD JAY SMITH
DJ SMITH
CRD#: 837936
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 2612 ASHMAN ST
MIDLAND, MI 48640
MIDLAND, MI 48640
CETERA ADVISORS LLCCRD#: 10299 2612 ASHMAN ST
MIDLAND, MI 48640
MIDLAND, MI 48640
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3/17/2003
Customer Dispute
Closed-No Action
11/20/2002
Customer Dispute
Settled
State Registrations
B
Michigan 1/1/2004
IA
Michigan 3/21/2024
SRO Registrations
B
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IA
Registered with this firm since 3/21/2024
B
Registered with this firm since 1/1/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/31/2010 - 03/21/2024 | GREENWOOD VILLAGE, IL | |
B | 11/15/1995 - 01/01/2004 | HUDSON, OH | |
B | 10/20/1980 - 11/16/1995 | NEW YORK, NY | |
B | 06/01/1977 - 11/16/1995 | NEW YORK, NY |
NEW YORK, NY
06/01/1977 - 11/16/1995
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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.