Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kaana? Claim Your ProfileKaana Smith is a financial professional with over 20 years of experience in the financial services industry. Kaana is currently registered with New York Life Investment Management LLC, and has held previous roles with Edward Jones, Concorde Investment Services, LLC, Fidelity Brokerage Services LLC, VALIC Financial Advisors, Inc., Cole Capital Corporation, Transamerica Capital, Inc., ING America Equities, Inc., U.S. Bancorp Investments, Inc., and U.S. Bancorp Piper Jaffray Inc. Kaana is licensed to provide investment advice and securities trading services to individuals, businesses, and institutional 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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
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.
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MN
06/18/2024 - Present
NEW York Life Investment Management LLC (St, Paul MN)
MO
12/19/2022 - 03/21/2023
EDWARD JONES (ST. LOUIS MO)
CA
03/09/2022 - 08/30/2022
CONCORDE INVESTMENT SERVICES, LLC (Roseville CA)
GA
09/07/2021 - 01/28/2022
FIDELITY BROKERAGE SERVICES LLC (DUNWOODY GA)
FL
05/30/2017 - 08/12/2021
VALIC FINANCIAL ADVISORS, INC. (MIAMI FL)
AZ
01/16/2007 - 01/03/2017
COLE CAPITAL CORPORATION (PHOENIX AZ)
MN
04/11/2005 - 01/04/2007
TRANSAMERICA CAPITAL, INC. (MINNEAPOLIS MN)
PA
07/18/2003 - 03/28/2005
ING AMERICA EQUITIES, INC. (WEST CHESTER PA)
MN
05/03/2001 - 04/25/2002
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
MN
01/11/2000 - 09/04/2001
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
MN
07/13/1998 - 07/14/2000
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
NJ
10/06/1997 - 03/30/1998
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 07/05/2017
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/17/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/20/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/11/1998
Series 7 - General Securities Representative Examination
BC
Issued 10/03/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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