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Lincoln “Joe” Smith joins Boustead as Executive Vice President

August 16, 2019

Lincoln 'Joe' Smith, Boustead & Company's new Executive Vice President


Boustead & Company and Boustead Securities are pleased to welcome Lincoln “Joe” Smith on board as Executive Vice President.


Smith is a seasoned industry executive with over 25 years of experience in the financial services industry, applying innovative thinking and deep industry knowledge to build cost effective programs, and balancing regulatory requirements with business needs. Smith 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.


Says Keith Moore, Founder and CEO of Boustead Securities, “We are thrilled to have someone of Joe’s experience join the Boustead family. Joe will be instrumental in helping us to continue to innovate and provide our clients access to alternative investments in a more efficient and cost effective manner. Joe is tasked with building upon the existing Boustead and Sutter platforms to meet the demands of tomorrow’s financial services client.”


"I'm impressed with Keith and Dan's vision to grow and build a platform that will serve the needs of the Firm's growing client base,” stated Smith. “I look forward to working with them and the rest of the Boustead and Sutter teams to leverage their respective platforms to grow the business and provide value to firm clients."


Boustead looks forward to this new chapter in the firm’s evolution as it continues to serve issuers and investors.


    About Boustead Securities, LLC
    Member: FINRA/SIPC


    Boustead Securities, LLC is an investment banking firm that advises clients on IPOs, mergers and acquisitions, capital raises and restructuring assignments in a wide array of industries, geographies and transactions. Our core value proposition is our ability to create opportunity through innovative solutions and tenacious execution. With experienced professionals in the United States and around the world, Boustead's team moves quickly and provides a broad spectrum of sophisticated financial advice and services. For more information visit 


    About Boustead & Company Limited

    Boustead & Company Limited is a diversified and comprehensive non-bank financial institution with offices in Los Angeles, New York, San Francisco, London and Beijing that is rapidly expanding in growth markets throughout the US and Asia.  Through its principals and fully-licensed subsidiaries Boustead &Company possesses rich experience and exceptional capabilities in capital markets deal execution and is dedicated to providing best-in-class one-stop financial services to clients.  Boustead’s comprehensive financial services platform consists of four operating units: Boustead Securities, LLC, a US-based FINRA Broker/Dealer and middle-market investment bank; Sutter Securities Group, Inc. which owns three FINRA-regulated entities: Sutter Securities, Inc., Sutter Securities Clearing, LLC, and FlashFunders Funding Portal, LLC, along with fund manager Sutter Capital Management, Inc.; Sutter Capital Partners, LLC a California Registered Investment Advisor; and Boustead Capital Markets, LLP a London-based FCA-regulated company. 

    Boustead Securities, 6 Venture, Suite 265, Irvine, CA 92618, USA


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