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Stanley Smiley

Vice President at Cetera Investment Advisers

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Stanley Smiley is Vice President of Cetera Investment Advisers LLC, a Schaumburg investment adviser managing $257B. Stanley Smiley has a current broker registration and no current investment-adviser registration and has passed the Series 7, Series 63, Series 24 and SIE.

Role at Cetera Investment Advisers

Title on Schedule A
Vice President
Control
Stanley Smiley is a control person of Cetera Investment Advisers.
Ownership
An individual ownership band is not available in the source record.
Tenure
Stanley Smiley has held the filed role since April 2012.

The firm

Cetera Investment Advisers LLC
Schaumburg, IL

Form ADV filed 13 August 2026

$257B AUM813,961 clients9,049 advisers28 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 7, Series 63 and Series 24 · 2001

Registrations and exams

Broker registration; no current adviser registration. Stanley Smiley has passed 4 qualifying exams.

Examinations

Series 6320 July 2001
Name
Uniform Securities Agent State Law Examination
Series 243 December 2001
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 718 May 2001
Name
General Securities Representative Examination

Individual record

Full name
Stanley Robert Smiley
CRD
3004604
Firm
Cetera Investment Advisers LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Stanley Smiley work?

Stanley Smiley has been Vice President of Cetera Investment Advisers LLC since April 2012, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 13 August 2026

Does Stanley Smiley have a current investment-adviser registration?

Stanley Smiley has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Stanley Smiley passed?

Stanley Smiley has passed 4 licensing exams: the Series 7, Series 63, Series 24 and SIE. The earliest, the Series 7, was passed in May 2001.

Source: IAPD individual record, checked 17 October 2026

Leadership at Cetera Investment Advisers

Sources

  1. IAPD individual record, CRD 3004604. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Cetera Investment Advisers LLC, filed 13 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Stanley Smiley or Cetera Investment Advisers LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.