Lincoln Smith Email & Phone Number | Seasoned compliance manager with over 25 years of experience in applying innovative thinking and deep industry knowledge to build cost effective compliance program. Responsible for balancing regulatory requirements with business needs. Areas of expertise include anti-money laundering, creating and implementing written supervisory procedures, managing enterprise-wide conflicts of interest, registration, and continuing education programs.

Lincoln Smith

Seasoned compliance manager with over 25 years of experience in applying innovative thinking and dee...
Irvine, California, United States

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Lincoln Smith’s Location Irvine, California, United States

Lincoln Smith’s Current Industry Sutter Securities Boustead Securities

Lincoln Smith’s Prior Industry B Riley Fbr | Finra | Folger Nolan Fleming Douglas

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President and CEO

2024-02-01 00:00:00 - Present

Executive Vice President

2019-08-01 00:00:00 - Present

Associate Chief Compliance Officer

1999-08-01 00:00:00 - 2019-05-01 00:00:00

Examiner

1998-06-01 00:00:00 - 1999-08-01 00:00:00

Equity Trader

1997-05-01 00:00:00 - 1998-06-01 00:00:00

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Lincoln Smith is a Seasoned compliance manager with over 25 years of experience in applying innovative thinking and deep industry knowledge to build cost effective compliance program. Responsible for balancing regulatory requirements with business needs. Areas of expertise include anti-money laundering, creating and implementing written supervisory procedures, managing enterprise-wide conflicts of interest, registration, and continuing education programs.