Kaana Smith
Investment Adviser Representative at NEW YORK LIFE Investment Management LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Kaana Smith is an investment adviser representative with NEW YORK LIFE Investment Management LLC in St. Paul, MN, where they have been registered since 2024. They have worked in the securities industry since 2001 and have been registered with 5 firms, including Edward Jones and Bangerter Financial Services, Inc. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 66 (combined investment adviser and state securities agent), and Series 7 (general securities representative). They are registered to provide investment advice in Minnesota.
Registrations & licenses
- Investment adviser:
- Minnesota
- Broker:
3 states and territories
Minnesota, North Dakota, South Dakota
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.
- COLE Capital CorporationJan 2007 – Dec 2016Phoenix, AZ
- Equity FUND AdvisorsJan 2007 – Dec 2016Phoenix, AZ
- Valic Financial Advisors, Inc.May 2017 – Aug 2021Miami, FL
- UnemployedDec 2016 – May 2017Miami, FL
- Fidelity InvestmentsAug 2021 – Jan 2022Dunwoody, GA
- Concorde Investment Services, LLCMar 2022 – Aug 2022Livonia, MI
- Bangerter Financial Services, Inc.Mar 2022 – Aug 2022Roseville, CA
- Edward JonesDec 2022 – Mar 2023St. Louis, MO
- UnemployedAug 2022 – Dec 2022Los Angeles, CA
- Securian FinancialMar 2023 – Jun 2024St. Paul, MN
- New York Life InvestmentsJun 2024 – no end date reportedSt. Paul, MN
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About NEW YORK LIFE Investment Management LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Firm account minimum
- $100,000 (waivable)
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
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 88
- Offices listed on AdvisorFinder:
- 1
- Main office:
- New York, NY
- SEC file number:
- 801-57396
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at NEW YORK LIFE Investment Management LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kaana 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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