Alan Smith

Vice President & Deputy General Counsel, Janney Montgomery Scott LLC

Alan Smith, Vice President, Janney Montgomery Scott LLC

Mr. Smith joined Janney in 2008 and is currently Deputy General Counsel of Litigation and Regulatory Affairs. His primary responsibilities are defense of the firm from litigation, regulatory and reputational risk. He also oversees the firm’s senior investor, regulatory reporting and broker conduct committees. In his prior role he was head of the early dispute resolution department.  He has been in the industry since 1995, when he began his career as a Financial Advisor. Professional memberships include SIFMA’s Senior Investor, PCG Legal and Arbitration committees, as well as FINRA’s Compliant Initiative Committee and the Florida Association of Securities Dealers. His undergraduate degrees are from Randolph Macon College and his JD is from the University of Richmond.