Keith Smith is a registered investment advisor, based in New York, NY, with 37 years of industry experience.
Location
400 Park Avenue, 10th Floor, New York, NY, 10022
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Keith is an author of books, including "Investing, Insurance & Credit" and "Men in My Town", and manages MIMT LLC to handle royalties and speaking fees, dedicating minimal time to these activities. He also works as an Election Day Poll Worker for the New York State Board of Elections.
Employment History
Current Registrations
RBC Rochdale, LLC
Cnr Securities, LLC
Cnr Securities, LLCBroker
Previous Registrations
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Fiserv Financial Services, LLCBroker
Smith Portfolio Review Service, L.L.C.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Fidelity Brokerage Services, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations1 state
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