Adviser and broker representative · Cetera Investment Advisers LLC
Susan M. Smith
CRD 7281036 · Worcester, MA
At a glance
Susan M. Smith is an investment adviser representative with Cetera Investment Advisers LLC in Worcester, MA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Susan’s SEC record dates to 2022, about 3 years ago. Susan is also registered as a broker representative.
Current advisory firms
- Cetera Investment Advisers LLCSince May 2023Worcester, MA · $257B in regulatory assets
- The Patriot Financial Group, LLCSince June 2023Worcester, MA · $2.6B in regulatory assets
SEC adviser record
- Registered since
- 2022 (3 years)
- Designations
- None on file
- Exams
- Series 66
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Susan’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.