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Smart Execution Securities, Llc


Smart Execution Securities, Llc is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.
 
Prior to founding Smart Execution, the founder developed one of the first systems to profitably trade NASDAQ stocks with full automation. He also developed the first APT (Arbitrage Pricing Theory) software to ever operate on a PC, and licensed it to NIS, which currently uses it's core technology on systems distributed to over 65 major financial institutions. Chris, the founder of Smart Execution Securities, is a tenured Professor at California State University's School of Business and Economics and previously held professorships at Wharton and NYU's Stern School of Business. Chris holds a patent on an innovative system for asset allocation and has published numerous academic and professional papers in economics and tax. Chris has an undergraduate degree in economics from Wabash College, an MBA from the University of Chicago, and a PhD in finance and business taxation from the University of Southern California.
 
Smart Execution Securities is a broker-dealer and a holding company for firms specializing in creating and employing advanced trading technology. It is majority owned by Smart Execution, LLC which, in turn, is majority owned by the employees of the company. All customer business is conducted through Index Securities. The firm maintains the strictest of Chinese Walls between Index and their other brokerages. And they are always happy to provide any information necessary to satisfy your questions and requirements completely.
 
All brokerage services are performed by Index Securities, LLC, utilizing Smart Execution's proprietary algorithmic trading technology and software. They provide  services to buy-side firms with over $1 billion in assets or over 1 million shares traded daily. They also white label services to the sell-side. Because of their technology, they can offer better executions at a more reasonable price than nearly any other firm.

In the end, there are only three things you can buy in this business: performance, integrity and service. Of these, integrity is by far the most important. They are completely aware of the legal and ethical requirements of the profession. They motivation is to help others realize their aspirations as honestly and completely as they can.

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