Ann Smith Email & Phone Number | 35 years of securities industry, trust banking, registered investment advisor and IRA/Pension & Retirement Plan experience 22 years of executive management experience as co-founder of a successful trust company and registered investment advisor, leading the industry in retirement and wealth management services for retired airline crew members. Senior operations and compliance executive and co-founder of Dallas-based RIA with 1 billion AUM 30 years of experience in the development and management of excellence in investment advisor and trust operations platforms, creating critical efficiencies and service excellence with proprietary software development and systems integration and administration of operational systems RIA Chief Compliance Officer building a successful high level compliance program Expertise in the successful execution of corporate mergers and acquisitions, due diligence Strategic RIA business consulting - advocate and strategic consultant for large, complex RIA relationships – promoting service excellence, business growth, innovative solutions and practice management.

Ann Smith

35 years of securities industry, trust banking, registered investment advisor and IRA/Pension & Reti...
Greater Boston, Greater Boston, United States

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Ann Smith’s Location Greater Boston, Greater Boston, United States

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Chief Operating Officer and Chief Compliance Officer

2015-03-01 00:00:00 - 2022-06-01 00:00:00

Director, Sr. Relationship Manager

2010-03-01 00:00:00 - 2015-01-01 00:00:00

President, CCO

2007-04-01 00:00:00 - 2008-04-01 00:00:00

Exec VP, CCO, Co-Founder

1991-04-01 00:00:00 - 2007-04-01 00:00:00

Vice President – Operations, CCO & Co-Founder

1987-10-01 00:00:00 - 1991-04-01 00:00:00

Trust Operations Officer

1986-01-01 00:00:00 - 1987-01-01 00:00:00

Trust Operations Officer

1985-01-01 00:00:00 - 1986-01-01 00:00:00

Trust Operations Officer, CCO

1977-01-01 00:00:00 - 1985-01-01 00:00:00

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Ann Smith is a 35 years of securities industry, trust banking, registered investment advisor and IRA/Pension & Retirement Plan experience 22 years of executive management experience as co-founder of a successful trust company and registered investment advisor, leading the industry in retirement and wealth management services for retired airline crew members. Senior operations and compliance executive and co-founder of Dallas-based RIA with 1 billion AUM 30 years of experience in the development and management of excellence in investment advisor and trust operations platforms, creating critical efficiencies and service excellence with proprietary software development and systems integration and administration of operational systems RIA Chief Compliance Officer building a successful high level compliance program Expertise in the successful execution of corporate mergers and acquisitions, due diligence Strategic RIA business consulting - advocate and strategic consultant for large, complex RIA relationships – promoting service excellence, business growth, innovative solutions and practice management.

Ann Smith has prior
experience in the following industries:
Heritage Financial Services | Pershing Advisor Solutions | Raa Wealth Management | Retirement Advisors Of America | First Southern Trust | North Dallas Bank And Trust | Mbank Dallas | Ouachita National Bank

Ann Smith has the following professional experience:
Heritage Financial Services | Pershing Advisor Solutions | Raa Wealth Management | Retirement Advisors Of America | First Southern Trust | North Dallas Bank And Trust | Mbank Dallas | Ouachita National Bank