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Home > Financial Services > Stock Brokers > Smith, Moore & Co.

Smith, Moore & Co.

Smith, Moore & Cois 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.

The firm was founded in 1913 by Jay Herndon Smith and Charles W. Moore, two men intent on creating a firm that put the interests of their clients first. They decided that the firm should have a very strong capital base, and emphasize conservative investing principles. This philosophy served the firm and its customers well, as it enabled them to survive the great depression and two world wars with their wealth intact.

In 2004, under the leadership of James Deutsch and Harry Langenberg Jr., the firm moved the headquarters to the Sevens Building in Clayton. With this upgrade to their facilities, the firm continues to add new professionals to the staff and has opened another branch office in Jefferson City, Missouri. Building a solid financial future requires a variety of investment tools. The firm provides the products and services you’ll need at every level of saving and investing.

They maintain important disaster recovery and business continuity plans that may be activated in the event of a significant business disruption. The firm realizes the critical nature of being able to continue material operations if an incident occurs that could affect mission critical business units and systems. These plans are key components in maintaining emergency procedures, and are required by securities industry regulations.

In planning for potential significant business disruptions, the firm has studied a number of outcomes from varying scenarios, including a disruption to a single building, a city wide business disruption, and a regional disruption. The firm's plans are intended to permit the continuation of key business operations during most types of disruptions by resuming mission critical operations, usually within the same business day as the disruption.

Their customers' privacy is a priority. Because safeguarding their customer’s personal information is important to them, they will not disclose any nonpublic personal information about their customers or former customers to anyone, except as required by law or as described below.

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