Keith Smith

Employer firm

Rbc Rochdale, LLC CRD 117198

$73.0B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• 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

• 08/2015 → 01/2022
  Bank Of America, N.A.
  New York, NY
• 08/2015 → 01/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 01/2022 → 12/2023
  Citigroup Global Markets, Inc.
  New York, NY
• 12/2023 → Present
  Cnr Securities, Llc
  New York, NY

Previous Registrations

• 2022-01-20 → 2024-01-04
  Citigroup Global Markets Inc.
  New York, NY
  New York, NY
  New York, NY
  New York, NY
  New York, NY
  New York, NY
  New York, NY
• 2015-09-08 → 2022-01-25
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
  New York, NY
  New York, NY
  New York, NY
  Iselin, NJ
  New York, NY
  New York, NY
  New York, NY
  New York, NY
• 2014-09-22 → 2015-09-10
  Northwestern Mutual Investment Services, Llc
  Staten Island, NY
  New York, NY
• 2009-07-07 → 2009-10-20
  Smith Portfolio Review Service, L.L.C.
  East Windsor, NJ
• 2000-02-10 → 2009-03-30
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pennington, NJ
  Pennington, NJ

Other Businesses

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.

Exams

• S63 Uniform Securities Agent State Law Examination
  2014-05-28
• S65 Uniform Investment Adviser Law Examination
  2013-10-01