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Emily Anne Harker Smith

Northwestern Mutual Investment Services, LLC

Williamsburg, VA

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Current Employers
Northwestern Mutual Investment Services, Llc

720 East Wisconsin Avenue, Milwaukee, WI 53202-4797 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2024-06-24
  • VA RA
    APPROVED
    Since 2024-06-24

Branch Locations

5360 Discovery Park Blvd Unit 1, Williamsburg, VA 23188 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Trant Associates Llc Hampton VA 12/2015 04/2024
Chatford Capital Llc Columbia SC 08/2023 04/2024
Donald B Brown Williamsburg VA 04/2024 06/2024
Gene Efird Iii Williamsburg VA 04/2024 06/2024
Donald Brown Williamsburg VA 05/2024 Present
Northwestern Mutual Investment Services Llc Williamsburg VA 05/2024 Present
Ernest Effird Williamsburg VA 06/2024 Present
  • 12/2015 → 04/2024
    Trant Associates Llc
    Hampton, VA
  • 08/2023 → 04/2024
    Chatford Capital Llc
    Columbia, SC
  • 04/2024 → 06/2024
    Donald B Brown
    Williamsburg, VA
  • 04/2024 → 06/2024
    Gene Efird Iii
    Williamsburg, VA
  • 05/2024 → Present
    Donald Brown
    Williamsburg, VA
  • 05/2024 → Present
    Northwestern Mutual Investment Services Llc
    Williamsburg, VA
  • 06/2024 → Present
    Ernest Effird
    Williamsburg, VA
Previous Registrations
  • 2015-12-09 → 2024-04-17
    Davinci Financial Designs
    Newport News, VA
    Columbia, SC
  • 2013-09-14 → 2015-12-16
    First Command Brokerage Services, Inc.
    Newport News, VA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-09-14
S63 Uniform Securities Agent State Law Examination 2013-07-27
  • S65 Uniform Investment Adviser Law Examination
    2013-09-14
  • S63 Uniform Securities Agent State Law Examination
    2013-07-27
Other Names
  • Emily Anne Harker
  • Emily Anne Smith

View on SEC IAPD

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Other Investors

CHARLES JONATHAN CARDER
JOHN ASHLEY PATTISALL
SHARI L BARKER
Beth L Brauner
DAVID ROSS CLEMENS
PETER JAMES KOKOLIS
JOHN JAMES KOKOLIS
LARRY STEPHEN GOLUB

Other Offices

MORGAN STANLEY · Williamsburg, VA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · WILLIAMSBURG, VA
AMERIPRISE FINANCIAL SERVICES, LLC · Williamsburg, VA
STATE FARM INVESTMENT MANAGEMENT CORP. · Willliamsburg, VA
TENZING FINANCIAL LLC · WILLIAMSBURG, VA
STATE FARM INVESTMENT MANAGEMENT CORP. · Williamsburg, VA
LEVEL FOUR ADVISORY SERVICES · WILLIAMSBURG, VA
STATE FARM INVESTMENT MANAGEMENT CORP. · Williamsburg, VA

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