Emily Anne Harker Smith
Investment Adviser Representative at Northwestern Mutual Investment Services,llc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Emily Anne Harker Smith is an investment adviser representative with Northwestern Mutual Investment Services,llc in Williamsburg, VA, where they have been registered since 2024. They have worked in the securities industry since 2013 and have been registered with 3 firms, including Davinci Financial Designs and First Command Financial Planning, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in Virginia.
Office
Advisors at this office: 3
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Virginia
- Broker:
1 state or territory
Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Trant Associates LLCDec 2015 – Apr 2024Hampton, VA
- Chatford Capital LLCAug 2023 – Apr 2024Columbia, SC
- Donald B BrownApr 2024 – Jun 2024Williamsburg, VA
- Gene Efird IIIApr 2024 – Jun 2024Williamsburg, VA
- Donald BrownMay 2024 – no end date reportedWilliamsburg, VA
- Northwestern Mutual Investment Services LLCMay 2024 – no end date reportedWilliamsburg, VA
- Ernest EffirdJun 2024 – no end date reportedWilliamsburg, VA
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Northwestern Mutual Investment Services,llc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
Similar advisors in Williamsburg, VA
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Emily Anne Harker Smith has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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