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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

NICHOLAS PATRICK SMUTNEY

Advisor at CETERA INVESTMENT ADVISERS LLC

BRIDGEVILLE, PA

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Search this name across graphsid dfx:ria:9626b86d-c39c-9830-2155-d943aab3ada6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 21, 2017 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Aug 18, 2017
First registration: Aug 21, 2017
Dual registered: yes, broker-dealer
Other names: NICHOLAS SMUTNEY
IAPD individual key: 6772063

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Feb 22, 2024	n/a	yes	BRIDGEVILLE, PA	Current employment
STRATEGIC WEALTH INVESTMENT GROUP, LLC	Independent wealth	Oct 7, 2022	Jan 29, 2024	no	LOUISVILLE, KY\|Tampa, FL	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jan 24, 2020	Jun 8, 2022	no	PITTSBURGH, PA\|MCKEES ROCK, PA	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Dec 26, 2018	Dec 17, 2019	no	BUTLER, PA\|BUTLER, PA\|SAXONBURG, PA\|Sarver, PA\|KITTANNING, PA\|BUTLER, PA\|MONROEVILLE, PA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 21, 2017	Oct 29, 2018	no	PITTSBURGH, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STRATEGIC WEALTH INVESTMENT GROUP, LLC	CETERA INVESTMENT ADVISERS LLC	Jan 29, 2024	Feb 22, 2024	24	Firm change	RIA to ibd
PNC WEALTH MANAGEMENT	STRATEGIC WEALTH INVESTMENT GROUP, LLC	Jun 8, 2022	Oct 7, 2022	121	Firm change	Ibd to RIA
CITIZENS SECURITIES, INC.	PNC WEALTH MANAGEMENT	Dec 17, 2019	Jan 24, 2020	38	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIZENS SECURITIES, INC.	Oct 29, 2018	Dec 26, 2018	58	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Feb 22, 2024 to presentfactForm ADV
→ STRATEGIC WEALTH INVESTMENT GROUP, LLCRegistered adviserregistration: previous registration
Oct 7, 2022 to Jan 29, 2024factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 24, 2020 to Jun 8, 2022factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Dec 26, 2018 to Dec 17, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 21, 2017 to Oct 29, 2018factForm ADV

Dated events

Occurred
Jan 29, 2024
Advisor changed firm
Nicholas Patrick Smutney left Strategic Wealth Investment Group, Llc for Cetera Investment Advisers Llc (registered 2024-02-22)
Form ADVobserved 6 days ago
Occurred
Jun 8, 2022
Advisor changed firm
Nicholas Patrick Smutney left Pnc Wealth Management for Strategic Wealth Investment Group, Llc (registered 2022-10-07)
Form ADVobserved 6 days ago