Ethan D Smart

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2020 → 06/2022
  Jpmorgan Chase Bank, N.A.
  Minneapolis, MN
• 12/2020 → 06/2022
  J.P. Morgan Securities Llc
  Minneapolis, MN
• 10/2019 → 11/2020
  Wells Fargo Bank, N.A.
  Minneapolis, MN
• 04/2018 → 05/2019
  One Main Financial
  Saint Anthony, MN
• 06/2013 → 09/2019
  Coborns
  Princeton, MN
• 08/2015 → 05/2019
  Concordia University
  St Paul, MN
• 09/2016 → 05/2019
  Sodexo
  Saint Paul, MN
• 08/2022 → 10/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Minneapolis, MN
• 10/2022 → 10/2024
  Bank Of America N.A.
  Minneapolis, MN
• 10/2024 → Present
  Rbc Capital Markets, Llc
  Minneapolis, MN

Previous Registrations

• 2023-02-17 → 2024-10-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Minneapolis, MN
  New York, NY
  Minneapolis, MN
  Minneapolis, MN
  Minneapolis, MN
  Brooklyn Center, MN
  Coon Rapids, MN
  Maple Grove, MN
  Brooklyn Center, MN
  Farmington Hills, MI

Exams

• S66 Uniform Combined State Law Examination
  2023-02-16
• S63 Uniform Securities Agent State Law Examination
  2021-04-22

Other Names

• Ethan Smart
• Ethan David Smart
• Smart D Ethan