Ethan D Smart
Investment adviser representative at RBC Capital Markets, LLC
13 yearsExperience
1 stateRegistered in
$310.4BFirm assets
49 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
13 years in the industry.
- RBC Capital Markets, LLCOct 2024 to now
- Bank of America N.A.Oct 2022 to Oct 2024
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 2022 to Oct 2024
- J.P. Morgan Securities LLCDec 2020 to Jun 2022
- JPMorgan Chase Bank, N.A.Dec 2020 to Jun 2022
- Wells Fargo Bank, N.A.Oct 2019 to Nov 2020
- One Main FinancialApr 2018 to May 2019
- SodexoSep 2016 to May 2019
- Concordia UniversityAug 2015 to May 2019
- CobornsJun 2013 to Sep 2019
Exams passed
- Series 63 · Uniform Securities Agent State Law2021
- Series 66 · Uniform Combined State Law2023
State registrations
Registered as an investment adviser representative in 1 state (MN).
RBC Capital Markets, LLC
$310.4BAssets managed
283,910Clients
3,838Advisers
49 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7321842
- Firm CRD
- 31194