Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith Smith is a registered investment advisor with City National Rochdale in NEW YORK, NY. Keith has been in the industry since May 26, 1988, and holds several licenses, including Series 3, 4, 7, 8, 9, 10, 15, 23, 24, 31, 53, 63, and 65. Keith previously worked at Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Northwestern Mutual Investment Services, LLC. Keith specializes in providing portfolio management services to individuals, businesses, and investment companies.
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.
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.
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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NY
02/07/2024 - Present
City National Rochdale (NEW YORK NY)
NY
01/20/2022 - 01/04/2024
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
09/08/2015 - 01/25/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/29/2014 - 09/10/2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NEW YORK NY)
NJ
08/05/2009 - 12/09/2009
FISERV FINANCIAL SERVICES, LLC (JERSEY CITY NJ)
NJ
03/17/1999 - 03/30/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
RI
03/31/1997 - 03/26/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NY
07/20/1983 - 03/19/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 05/28/2014
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/01/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/17/2024
Series 24 - General Securities Principal Examination
BC
Issued 08/01/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/16/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/26/2006
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 06/08/1993
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/27/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 04/04/1985
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/2007
Series 3 - National Commodity Futures Examination
BC
Issued 12/15/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 04/04/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 07/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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