In The News

1st Global Names Stephen Smith AVP for RIA Compliance

Jan 29, 2018

DALLAS--(BUSINESS WIRE)--

1st Global, an independent wealth management partner to exceptional CPA firms, has announced the promotion of Stephen Smith to assistant vice president of RIA (advisory) compliance.

“I’m excited to be part of this growing segment of our business, and I look forward to being a valuable resource to our advisors as they work to understand and navigate state and federal regulations,” said Smith.

In his new role, Smith will lead the firm’s overall strategy to ensure all registered advisors are in compliance with state and federal regulatory requirements. The AVP also acts as a liaison between the firm and the regulatory authorities and provides training and education to financial advisors and company employees.

“Steve’s strong leadership and ability to approach compliance from a business perspective has proved invaluable in our compliance efforts,” said Michael Pagano, 1st Global executive vice president. “As the advisory side of our business continues to grow, Steve’s industry knowledge and experience will contribute greatly to our future success.”

Prior to his appointment as AVP, Smith served 1st Global as chief compliance officer for 1st Global Advisors, Inc., and as regulatory control director, offering leadership, direction and oversight to groups within the organization that are responsible for supervision and surveillance of financial advisors and their activities. Before joining the firm in 2002, he worked as an investigator with the Texas State Securities Board.

Smith graduated from Texas A&M University with a bachelor’s degree in journalism. He is a FINRA-registered representative and has passed the Series 7, 24 and 66 securities exams. Smith resides in Allen, Texas, with his wife and two children.

About 1st Global

1st Global was founded in 1992 by CPAs who believe that accounting, tax and estate planning firms are uniquely qualified to provide comprehensive wealth management services to their clients. 1st Global is a research and consulting partner that provides CPA, tax and estate planning firms with education, technology, business-building framework and client solutions that make these firms leaders in their professions through dedicated professional client relationships built around wealth management. Around 400 firms have chosen to affiliate with 1st Global, making it one of the largest financial services partners for the tax, accounting and legal professions.

Securities are offered through 1st Global Capital Corp. which is a member of FINRA and SIPC and is headquartered at 12750 Merit Dr., Ste. 1200 in Dallas, Texas, 214-294-5000. Investment advisory services are offered through 1st Global Advisors, Inc. Additional information about 1st Global is available at www.1stGlobal.com.

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