Clarissa A. Smith

SVB WEALTH

Boston, MA 02109

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CRD#: 2854854

Professional summary

Clarissa Ann Smith, who also goes by Clarissa Ann Escorsio, is a registered financial advisor currently at SVB WEALTH located in Boston, Massachusetts and FIRST CITIZENS INVESTOR SERVICES, INC. located in Boston, Massachusetts.

Clarissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Clarissa has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Clarissa Ann Escorsio

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.

Registered Representative of SVB Wealth Advisory in Boston Massachusetts, serving as Director of Client Advisory Services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Clarissa Ann 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

April 29, 2021 - Present

SVB WEALTH

Office #1: 53 State Street, Boston, MA 02109

RIA

CRD#: 172832

Boston, MA

Current

December 5, 2023 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 53 State St 28th Floor, Boston, MA 02109

RIA

CRD#: 44430

Boston, MA

Past

November 26, 2021 - December 31, 2023

SVB INVESTMENT SERVICES INC.

CRD#: 168116

Newton, MA

Past

April 15, 2009 - August 30, 2019

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

BOSTON, MA

Past

February 15, 2008 - August 30, 2019

BNY MELLON SECURITIES CORPORATION

CRD#: 231

BOSTON, MA

Past

May 29, 2007 - January 24, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BOSTON, MA

Past

May 29, 2007 - January 24, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BOSTON, MA

Past

September 18, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

BOSTON, MA

Past

August 20, 2002 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

BOSTON, MA

Past

April 7, 1998 - September 9, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 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

IAR

Massachusetts
(4/29/2021)

Massachusetts
(1/1/2024)

New Hampshire
(12/5/2023)

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 65

Date: 9/15/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/15/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/25/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/6/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/17/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Clarissa A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

SVB INVESTMENT SERVICES INC.

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 9/15/2006

Series 63

Date: 4/15/1998

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 2/25/2014

Series 7

Date: 4/6/1998

Series 24

Date: 5/17/2023

FINRA

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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