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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

KEITH SMITH

Advisor at RBC ROCHDALE, LLC

NEW YORK, NY | New York, NY

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Search this name across graphsid dfx:ria:b345ccdb-cd27-0cd8-39b3-0ec0ae637437

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Feb 10, 2000 to Sep 14, 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: RBC ROCHDALE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 10, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Oct 1, 2013
First registration: Feb 10, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 1147300

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
RBC ROCHDALE, LLC	Bd affiliated wealth	Feb 7, 2024	n/a	yes	NEW YORK, NY\|New York, NY	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 20, 2022	Jan 4, 2024	no	NEW YORK, NY\|New York, NY\|New York, NY\|New York, NY\|New York, NY\|New York, NY\|NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 8, 2015	Jan 25, 2022	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|ISELIN, NJ\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Sep 22, 2014	Sep 10, 2015	no	STATEN ISLAND, NY\|NEW YORK, NY	Previous registration
SMITH PORTFOLIO REVIEW SERVICE, L.L.C.	n/a	Jul 7, 2009	Oct 20, 2009	no	EAST WINDSOR, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 10, 2000	Mar 30, 2009	no	PENNINGTON, NJ\|PENNINGTON, NJ	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
CITIGROUP GLOBAL MARKETS INC.	RBC ROCHDALE, LLC	Jan 4, 2024	Feb 7, 2024	34	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Jan 25, 2022	Jan 20, 2022	-5	Firm change	Wirehouse to ibd
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 10, 2015	Sep 8, 2015	-2	Firm change	Other
SMITH PORTFOLIO REVIEW SERVICE, L.L.C.	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Oct 20, 2009	Sep 22, 2014	1,798	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SMITH PORTFOLIO REVIEW SERVICE, L.L.C.	Mar 30, 2009	Jul 7, 2009	99	Firm change	Other

Relationships

Registered with (5)

→ RBC ROCHDALE, LLCRegistered adviserregistration: current employment
Feb 7, 2024 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 20, 2022 to Jan 4, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 8, 2015 to Jan 25, 2022factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Sep 22, 2014 to Sep 10, 2015factForm ADV
→ SMITH PORTFOLIO REVIEW SERVICE, L.L.C.Registered adviserregistration: previous registration
Jul 7, 2009 to Oct 20, 2009factForm ADV

Dated events

Occurred
Jan 4, 2024
Advisor changed firm
Keith Smith left Citigroup Global Markets Inc. for Rbc Rochdale, Llc (registered 2024-02-07)
Form ADVobserved 4 days ago
Occurred
Jan 25, 2022
Advisor changed firm
Keith Smith left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Citigroup Global Markets Inc. (registered 2022-01-20)
Form ADVobserved 4 days ago