Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on March 8, 2017 indicate that Arizona-based Cetera Advisors broker/adviser Christopher Smith has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Smith (CRD# 2265603).
Christopher Smith has spent 24 years in the securities industry and has been registered with Cetera Advisors in Payson, Arizona since November 2015. Previous registrations include Wells Fargo Advisors Financial Network in Payson, Arizona (2004-2015) and Edward Jones in St. Louis, Missouri (1992-2004). He has passed five securities industry examinations: He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 9 (General Securities Sales Supervisor – Options Module Examination); and Series 10 (General Securities Sales Supervisor – General Module Examination). He is a registered broker and investment adviser with 21 US states and territories.
According to his BrokerCheck report, Christopher Smith has received one pending customer complaint and three denied customer complaints.
In January 2017 a customer alleged Christopher Smith, while employed at Wells Fargo Advisors, over-concentrated the portfolio “in an unsuitable investment strategy that consisted entirely of unspecified mutual fund positions.” The customer is seeking at least $100,000 in damages in the pending complaint.
In 2006 a customer alleged Christopher Smith, while employed at Edward Jones, provided poor advice that resulted in losses. The customer sought $40,000 in damages in the pending complaint.
If you or someone you know has a complaint regarding Christopher Smith, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.