Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ethan? Claim Your ProfileEthan Smart is a financial advisor with over 2 years of experience in the industry. Ethan has been with RBC Capital Markets, LLC since October 2024 and previously worked with J.P. Morgan Securities LLC. Ethan holds Series 7, 63, and 66 licenses and is registered with the states of California, Florida, Iowa, Massachusetts, Michigan, Minnesota, Nebraska, New Jersey, North Dakota, South Dakota, Texas, and Wisconsin. Ethan specializes in providing financial advice to insurance companies, charitable organizations, high-net-worth individuals, pooled investment vehicles, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, state or municipal government entities, and other clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
MN
10/30/2024 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
MN
02/04/2021 - 06/30/2022
J.P. MORGAN SECURITIES LLC (Minnetonka MN)
BOTH
Issued 02/16/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/22/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/06/2022
Series 7TO - General Securities Representative Examination
BC
Issued 02/03/2021
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/21/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Ethan Smart is the right advisor for you? Invested Better is here to help.
