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Home > Financial Services > Stock Brokers > R.W. Smith & Associates, Inc.
R.W. Smith & Associates, Inc.
R.W. Smith & Associates, 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.
R.W. Smith & Associates, Inc. (RWS) is registered as a Municipal Securities Broker’s Broker with the Securities and Exchange Commission. The firm acts exclusively as an undisclosed agent in the purchase and sale of municipal securities for registered broker or dealers or dealer banks. RWS may not execute transactions for customers nor may they have securities in proprietary or inventory accounts.
The Company’s technical specialists cover the nation and provide this same in-depth knowledge in areas including zero coupon, bank qualified, Cal paper, high yield, Southeast and escrowed bonds. RWS has an exceptional telecommunications network to link their offices as well as a computerized trading system. The computerized trading system allows them to access trading histories and handle large numbers of bid wanted with ease. Their operations department is extraordinarily knowledgeable and proficient and can handle any number of trades accurately and efficiently. RWS considers the excellence of their technical and clearing departments, as well as their entire support staff, a key factor in their goal of becoming the dominant broker’s broker in the 21st century.
RW Smith Fixed Income, a division of Duncan-Williams, Inc., serves the specialized requirements of institutional investors, money managers, and other broker dealers. They have earned their reputation in fixed income products and services by creating value for clients through outstanding customer service, efficient transactions, and active management expertise. Now more than ever, independent bankers manage their investment portfolios aggressively to maintain value and to position for growth. RW Smith Fixed Income gives them the edge with knowledge, perspective and hands-on experience gained through decades of focused effort and successful execution.
The firm’s goal is to create a workplace where the best talent seeks employment. They know that diversity in the workforce will support their mission of helping people to be successful.
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