Chief Compliance Officer
Valerie S. Smithey, CFE®, CAMS®, CRCP™
Valerie brings over 23 years of experience to her position as Chief Compliance Officer. She primarily focuses on initiating and enforcing regulatory compliance programs that are consistent with federal, state, and organizational regulations. She also maintains communication with the executive management committee regarding all regulatory and compliance matters in order achieve strategic, operational, and financial objectives.
Mrs. Smithey served as vice president, chief compliance officer, general securities principal, option principal, and municipal securities principal for Boca Raton, FL based American Securities Group, Inc. There, she was responsible for conducting annual branch inspections as well as implementing compliance programs. Originally from Woodstock, IL, Valerie has worked in the industry for 18 years.
Valerie and her husband, Wes Smithey enjoy vacations to the beach, playing golf, and spending time with their dog, Jake.
Education, Credentials & Special Training:
- CERTIFIED FRAUD EXAMINER
- CERTIFIED ANTI-MONEY LAUNDERING SPECIALISTS
- Master of Business Administration, PIEDMONT COLLEGE, Demorest, GA
- Bachelor of Science in Business Administration, Major in Finance and Management Minor in Psychology, COLUMBIA COLLEGE, Columbia, MO
- Certified Regulatory and Compliance Professional, FINRA Institute at Wharton School of Business
- FINRA Licenses: Series 4, 7, 8, 24, 26, 53, 63, 66, Georgia Life, Health, and Variable Annuities Insurance License