Kaana Smith is a registered investment advisor, based in St, Paul, MN, with 25 years of industry experience. Kaana is also registered as a broker, so some compensation may come from commissions on products sold.
Location
St, Paul, MN
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Regulatory History (1)
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Judgment / Lien
August 2024Other Business Activities
Kaana is an independent contractor for Uniglobe Travel, a host travel agency, but spends no time on this. She is also the CEO and Founder of Wanderess Luxury Travel, but the LLC is set up and the business has not officially launched.
Employment History
Current Registrations
Nylife Distributors LLC
June 2024 - Present · 2 yrs 4 mos
New York Life Investment Management LLC
June 2024 - Present · 2 yrs 4 mos
Nylife Distributors LLCBroker
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
Edward Jones
December 2022 - March 2023 · 3 mos
Edward JonesBroker
December 2022 - March 2023 · 3 mos
Bangerter Financial Services, INC.
March 2022 - September 2022 · 6 mos
Concorde Investment Services, LLCBroker
March 2022 - August 2022 · 5 mos
Fidelity Personal and Workplace Advisors
October 2021 - January 2022 · 3 mos
Fidelity Brokerage Services LLCBroker
September 2021 - January 2022 · 4 mos
VALIC Financial Advisors, INC.
July 2017 - August 2021 · 4 yrs 1 mo
VALIC Financial Advisors, INC.Broker
May 2017 - August 2021 · 4 yrs 3 mos
Cole Capital CorporationBroker
January 2007 - January 2017 · 10 yrs
Transamerica Capital, INC.Broker
April 2005 - January 2007 · 1 yr 9 mos
Ing America Equities, INC.Broker
July 2003 - March 2005 · 1 yr 8 mos
U.S. Bancorp Investments, INC.Broker
May 2001 - April 2002 · 11 mos
U.S. Bancorp Piper Jaffray INC.Broker
January 2000 - September 2001 · 1 yr 8 mos
U.S. Bancorp Investments, INC.Broker
July 1998 - July 2000 · 2 yrs
Pruco Securities CorporationBroker
October 1997 - March 1998 · 5 mos
State Registrations3 states
MNNDSD
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.