Erez Law is currently investigating Cetera Investment Services LLC broker Stephen Smith (CRD# 2632131). He has been registered with Cetera Investment Services LLC in Fort Myers, Florida, since 2017, and Cetera Investment Advisers LLC, in Fort Myers, Florida, since 2017.
He was registered with the following brokerage firms:
- BBVA Wealth Solutions Inc. in Colorado Springs, Colorado, from 2016 to 2017
- BBVA Securities Inc. in Highlands Ranch, Colorado, from 2016 to 2017
- Allstate Financial Advisors, LLC in Colorado Springs, Colorado, from 2015 to 2016
- Allstate Financial Services, LLC, in Colorado Springs, Colorado, from 2015 to 2016
- Cetera Investment Advisers LLC in Shreveport, Louisiana, from 2014 to 2015
- Cetera Investment Services LLC in Shreveport, Louisiana, from 2013 to 2015
Stephen Smith Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
August 2024. “Claimant alleges unsuitable investment recommendations with resulted in losses.” The customer is seeking $200,000 in damages, and the case is currently pending. The complaint was regarding fixed annuities and equity indexed annuities, and it took place while he was registered with Cetera Investment Services LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Cetera Investment Services LLC may be liable for investment or other losses suffered by Stephen Smith’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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