Katelyn Smith, financial advisor Tacoma WA
93 score

Katelyn Smith

CRD Number: 5603500
Current Firm: Rbc Capital Markets, LLC

Katelyn Smith (CRD# 5603500) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Tacoma, WA and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Banc Of America Investment Services, Inc. Seattle, WA Oct 2008 - Current 8
Bank Of America, N.a. Seattle, WA Oct 2008 - Current 8
Pierce College Puyallup, WA Sep 2005 - Jun 2009 3
Bank Of America, Na Puyallup, WA Jul 2003 - Oct 2008 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2008
S66 NASAA Uniform Combined State Law Examination Sep 2013
Contact Info for Katelyn R. Smith
Phone Number: 212-858-7000
Firm Website: https://www.rbccm.com
Registered State(s):
  • WA
By the Numbers
  • Total Assets Under Management
    76,274
    MILLIONS
  • Total Number of Accounts
    192,243
    ACCOUNTS
  • Average Account Value
    $396,757
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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