Kaana Smith

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

St, Paul, MN

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CRD#: 2316653

Professional summary

Kaana Smith is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in St, Paul, Minnesota and NYLIFE DISTRIBUTORS LLC located in Merrick, New York.

Kaana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kaana has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 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.

Uniglobe Travel; 4540 Campus Drive, Ste 127, Newport Beach, CA 92660; Host travel agency, Independent Contractor; 0 hours per month. Wanderess Luxury Travel; 2136 Ford Parkway, Ste 5023, St Paul, MN 55116; travel agent; CEO & Founder; LLC set up business has not been officially launched.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kaana Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 18, 2024 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

St, Paul, MN

Current

June 18, 2024 - Present

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

Merrick, NY

Past

December 19, 2022 - March 21, 2023

EDWARD JONES

RIA

CRD#: 250

Los Angeles, CA

Past

December 19, 2022 - March 21, 2023

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

March 18, 2022 - September 2, 2022

BANGERTER FINANCIAL SERVICES, INC.

RIA

CRD#: 171939

ROSEVILLE, CA

Past

March 9, 2022 - August 30, 2022

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Roseville, CA

Past

October 15, 2021 - January 31, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

MIAMI, FL

Past

September 7, 2021 - January 28, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DUNWOODY, GA

Past

July 7, 2017 - August 12, 2021

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

MIAMI, FL

Past

May 30, 2017 - August 12, 2021

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

MIAMI, FL

Past

January 16, 2007 - January 3, 2017

CCO CAPITAL, LLC

CRD#: 31147

PHOENIX, AZ

Past

April 11, 2005 - January 4, 2007

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

MINNEAPOLIS, MN

Past

July 18, 2003 - March 28, 2005

SLD AMERICA EQUITIES, INC.

CRD#: 36259

WEST CHESTER, PA

Past

May 3, 2001 - April 25, 2002

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

January 11, 2000 - September 4, 2001

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

July 13, 1998 - July 14, 2000

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

October 6, 1997 - March 30, 1998

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 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.

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

Minnesota
(6/18/2024)

IAR

Minnesota
(6/18/2024)

North Dakota
(6/18/2024)

South Dakota
(6/18/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/5/2017

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/17/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/11/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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Contact information

Main Address

51 Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(888) 474-7725

Established

Firm type

Fiscal year end

# of Employees

349

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 113,162,976,263

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.

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Firm Stability Insights

Kaana Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kaana Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

EDWARD JONES

EDWARD JONES

BANGERTER FINANCIAL SERVICES, INC.

CONCORDE INVESTMENT SERVICES, LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

CCO CAPITAL, LLC

TRANSAMERICA CAPITAL, LLC

SLD AMERICA EQUITIES, INC.

U.S. BANCORP INVESTMENTS, INC.

PIPER SANDLER & CO.

U.S. BANCORP INVESTMENTS, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/5/2017

Series 65

Date: 1/17/2001

Series 63

Date: 8/20/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/11/1998

Series 6

Date: 10/3/1997

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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