Lincoln Smith (Joe)

Lincoln 'Joe' Smith has a diverse work experience spanning over two decades in the financial industry. Lincoln 'Joe' is currently the Chief Compliance Officer at Sutter Securities Incorporated. Prior to this, they served as the Executive Vice President at Boustead Securities in 2019. From 1999 to 2019, Smith worked at B. Riley FBR, Inc., where they held the position of Associate Chief Compliance Officer. In this role, they provided guidance on compliance matters across multiple business lines and implemented an effective anti-money laundering and OFAC compliance program. Before joining B. Riley FBR, Inc., Smith worked as an Examiner at FINRA, where they contributed to forming national enforcement policy and conducted investigations of member firms. Lincoln 'Joe' began their career as an Equity Trader at Folger Nolan Fleming Douglas Incorporated, where they acted as a Market Maker for NASDAQ stocks. Throughout their career, Smith has demonstrated expertise in compliance, enforcement, trading, and research functions in the financial industry.

Lincoln 'Joe' Smith attended Radford University from 1988 to 1993, where they obtained a Bachelor of Science degree. Lincoln 'Joe''sfield of study was Criminal Justice and Psychology. Additionally, they have obtained several certifications from FINRA. These certifications include Series 53 and Series 55, both obtained in July 2000. Lincoln 'Joe' also obtained a Series 24 certification in October 1999 and a Series 7 certification in August 1997.