Articles Tagged with Christopher Smith

Christopher Smith

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.