KS
Keith Smith
CITY NATIONAL ROCHDALE
New York, NY 10022
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CRD#: 1147300
KS
Professional summary
Keith Smith is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in New York, New York and CNR SECURITIES, LLC located in New York, New York.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Keith has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 31, Series 15, Series 7, Series 4, Series 24, Series 10, Series 9, Series 23, Series 53 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.Investing, Insurance & Credit, a conversation with a Wall Street Veteran; 16 Altavista Ct Staten Island NY; Investment related; Nature-books/authorship; Position-author; St Dt 18-Nov-2022; #hrs/mnt-1-10;Hrs/trd-0;Duties-author. 2.Men in My Town - A novel based on actual events; 16 Altavista Ct Staten Island NY; Not invst retd; Nature-books/authorship; Position-author; St Dt 28-Feb-2009; #hrs/mnt-1-10;Hrs/trd-0;Duties-author. 3.New York State Board of Elections; Nature: State government; Not investment-related; Staten Island, NY; Start Date: 1/19/2022; Title: Election Day Poll Worker; Duties: Election Day Poll Worker - I use vacation time to work election days for the New York State Board of Elections. 4. Name of Entity: MIMT LLC; Non investment-related; Address: 270 Bellevue Avenue, PMB 1107, Newport, RI 02840; Nature of OBA: MIMT LLC was created to allow me to open a business checking account to deposit book royalties and speaking fee income in a business checking account separate from my personal employment income and personal checking / saving accounts.; Position/Title/Relationship: Manager, sole owner of MIMT LLC, MIMT is an acronym for my book, Men in My Town.; Start Date: 2024-11-20; Time devoted: 4 hours per month; 0 during securities trading hours; Duties: Author, Speaker.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 7, 2024 - Present
CITY NATIONAL ROCHDALE
Office #1: 400 Park Avenue, New York, NY 10022RIA
CRD#: 117198
New York, NY
Current
February 7, 2024 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 6th Floor, New York, NY 10022BD
CRD#: 18466
NEW YORK, NY
Past
January 20, 2022 - January 4, 2024
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
January 20, 2022 - January 4, 2024
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 8, 2015 - January 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
September 8, 2015 - January 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 22, 2014 - September 10, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
NEW YORK, NY
Past
May 29, 2014 - September 10, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
NEW YORK, NY
Past
August 5, 2009 - December 9, 2009
FISERV FINANCIAL SERVICES, LLC
BD
CRD#: 133483
JERSEY CITY, NJ
Past
July 7, 2009 - October 20, 2009
SMITH PORTFOLIO REVIEW SERVICE, L.L.C.
RIA
CRD#: 149958
EAST WINDSOR, NJ
Past
February 10, 2000 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENNINGTON, NJ
Past
March 17, 1999 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PENNINGTON, NJ
Past
March 31, 1997 - March 26, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
July 20, 1983 - March 19, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(2/7/2024)
IAR
New York(2/7/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 4/4/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/27/1988
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
