Alan Smith

Mr. Smith joined Janney 2008 and is Deputy General Counsel of Litigation and Regulatory Affairs. He is primarily responsible for defending the firm from litigation, regulatory and reputational risks.

Mr. Smith is chair of Janney’s Conduct and Disclosure Review Committees and a member of the firm’s Risk Committee.  His is also a member of the SIFMA Arbitration and Senior Investor Committees, as well as FINRA’s Private Client Group Legal and Compliant Initiative Committees. In his prior role with the firm he was head of Janney’s Early Dispute Resolution Department. Prior to joining Janney he was in-house defense counsel with Wachovia Securities. He has been in the industry since 1995, when he began his career as a retail Financial Advisor.

After receiving his Bachelor of Arts in History, Political Science and Philosophy from Randolph Macon College, Mr. Smith earned his Juris Doctor from the University of Richmond and read for International Law at Cambridge University, Emmanuel College.