DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Christopher Ray Smith

Cetera Investment Advisers LLCBD affiliatedFlorence, Aldual registrantIAPD 4868875

Certified Financial Planner

Feed of 09/14/2026

Also filed as Christopher R Smith

At current firm

1 y

since Feb 20, 2025

In the industry

21 y

since Nov 12, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Cetera Investment Advisers LLC BD affiliated current
since Feb 20, 2025 · Florence, Al
Concourse Financial Group Advisors former
Jul 1, 2022 to Feb 20, 2025 · Florence, Al
Wells Fargo Advisors wirehouse
Nov 20, 2014 to Jul 12, 2022 · Birmingham, Al
Morgan Stanley wirehouse
Jun 1, 2009 to Nov 25, 2014 · Huntsville, Al
Morgan Stanley & Co. LLC unclassified
Nov 21, 2008 to Jun 1, 2009 · Huntsville, Al
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 15, 2004 to Nov 26, 2008 · Florence, Al

Moves

a registration end followed by a registration begin elsewhere

Concourse Financial Group Advisors to Cetera Investment Advisers LLC
left Feb 20, 2025, registered Feb 20, 2025 (0 days) · corporate re-registration, not a move
Wells Fargo Advisors to Concourse Financial Group Advisors
left Jul 12, 2022, registered Jul 1, 2022 (-11 days) · Wirehouse to affiliated broker-dealer or bank
Morgan Stanley to Wells Fargo Advisors
left Nov 25, 2014, registered Nov 20, 2014 (-5 days) · Wirehouse to wirehouse
Morgan Stanley & Co. LLC to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley & Co. LLC
left Nov 26, 2008, registered Nov 21, 2008 (-5 days) · Other

Signals

Christopher Ray Smith left Wells Fargo Advisors for Concourse Financial Group Advisors (registered 2022-07-01)
Jul 12, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address