Executive Vice President and CCO SSI
Lincoln "Joe" Smith
Lincoln “Joe” Smith is the Executive Vice President of Boustead & Company Limited and Boustead Securities, LLC and Chief Compliance Officer of Sutter Securities, Inc. Mr. Smith has over 25 years of experience in the financial services industry. He started his career in Washington, D.C. with Folger, Nolan, Fleming Douglas, an NYSE broker dealer, where he served in successive roles ultimately leading to working on the equity trade desk as a trader. He then joined FINRA's (f/k/a NASD Regulation) Enforcement Department where he was the lead examiner on all matters related to day trading. In 1999 he left FINRA to join the compliance department of Friedman Billings Ramsey & Co. (now B. Riley FBR) where he spent nearly 20 years overseeing multiple compliance related areas including anti-money laundering, creating and implementing written supervisory procedures, registration, continuing education, and managing conflicts of interest. In this role he was also responsible for interactions (e.g. examinations, inquiries, etc.) with industry regulators including the SEC and FINRA.
Mr. Smith holds a B.S., Criminal Justice and Psychology degree from Radford University.
Holds FINRA SIE, Series 7, 24, 53, 55, and 63 licenses.