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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Kaana Smith

Advisor at NEW YORK LIFE INVESTMENT MANAGEMENT LLC

St, Paul, MN | NEW YORK, NY

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Search this name across graphsid dfx:ria:2b6302b9-1650-4abe-2109-13f6003e54d7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Jul 7, 2017 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 20, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63|S65
First exam: Aug 20, 1998
First registration: Jul 7, 2017
Dual registered: yes, broker-dealer
IAPD individual key: 2316653

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Asset manager	Jun 18, 2024	n/a	yes	NEW YORK, NY\|St, Paul, MN	Current employment
EDWARD JONES	National bd RIA	Dec 19, 2022	Mar 21, 2023	no	ST LOUIS, MO\|Los Angeles, CA	Previous registration
BANGERTER FINANCIAL SERVICES, INC.	State registered	Mar 18, 2022	Sep 2, 2022	no	ROSEVILLE, CA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Oct 15, 2021	Jan 31, 2022	no	MIAMI, FL	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Jul 7, 2017	Aug 12, 2021	no	BOCA RATON, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EDWARD JONES	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Mar 21, 2023	Jun 18, 2024	455	Firm change after gap	Other
BANGERTER FINANCIAL SERVICES, INC.	EDWARD JONES	Sep 2, 2022	Dec 19, 2022	108	Firm change	Other
FIDELITY PERSONAL AND WORKPLACE ADVISORS	BANGERTER FINANCIAL SERVICES, INC.	Jan 31, 2022	Mar 18, 2022	46	Firm change	Ibd to state RIA
VALIC FINANCIAL ADVISORS, INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Aug 12, 2021	Oct 15, 2021	64	Firm change	Ibd to ibd

Relationships

Registered with (5)

→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: current employment
Jun 18, 2024 to presentfactForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Dec 19, 2022 to Mar 21, 2023factForm ADV
→ BANGERTER FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 18, 2022 to Sep 2, 2022factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Oct 15, 2021 to Jan 31, 2022factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jul 7, 2017 to Aug 12, 2021factForm ADV

Dated events

Occurred
Mar 21, 2023
Advisor changed firm
Kaana Smith left Edward Jones for New York Life Investment Management Llc (registered 2024-06-18)
Form ADVobserved 6 days ago
Occurred
Sep 2, 2022
Advisor changed firm
Kaana Smith left Bangerter Financial Services, Inc. for Edward Jones (registered 2022-12-19)
Form ADVobserved 6 days ago
Occurred
Jan 31, 2022
Advisor changed firm
Kaana Smith left Fidelity Personal And Workplace Advisors for Bangerter Financial Services, Inc. (registered 2022-03-18)
Form ADVobserved 6 days ago