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Smith Asset Management

Smith Asset Management, Inc 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.
Smith Asset Management, Inc. was founded by William B. Smith, who entered the investment management business in 1991. Mr. Smith holds the positions of President and Chief Executive Officer. In 1997, the firm was established as a dual registered Broker-Dealer and Registered Investment Advsior. In January of 2005, The Registered Investment Advisor, SAM Advsiors LLC., was spun off from Smith Asset Management, Inc. leaving Smith Asset Management as a Broker-Dealer focusing on Capital Market trading strategies. The Company is a full service Registered Broker-Dealer based in New York City. The firm specializes on the capital market trading strategies of equities, debt and options. The firm also concentrates on institutional trading and provides corporate executives with tools and recommendations for the exercise of options and creation of collar strategies for wealth preservation and decreased portfolio volatility.
Helping clients achieve their goals is the basis of their long-term success. They listen carefully to them to understand their individual circumstances and concerns help them tailor investment strategies to achieve their goals using realistic assumptions, and review progress regularly. They believe that frequent personal contact and clear written communication are the best means to render superior service. The Firm collects nonpublic information about you from the following sources: Information they receive about you on applications or other forms; Information you give the firm orally; and Information about your transactions with the firm or others.
Smith Asset Management was founded upon the trust and confidence of their clients. Their mission is to help their clients achieve their financial goals in the capital markets. The company prides themselves on their accessibility and encourages frequent and open communication with the clients. Client satisfaction is the most appropriate measure of their success.

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