LOS ANGELES, CA November 18, 2009
/24-7PressRelease/ -- The Stonnington Group, a premier wealth management firm based in Los Angeles, recently brought on Eric Smith as the firm's chief compliance officer. An industry veteran, with nearly 30 years of experience, Smith will oversee the firm's compliance infrastructure, supervising and developing compliance policies and procedures.
"We are excited to have someone of Eric's caliber join our team," said Nick Stonnington, president and founder of the Stonnington Group and one of Worth Magazine's Top 250 Wealth Advisors. "His extensive experience and technical expertise in the area of compliance will be critical to both our team of advisors and clients."
Prior to joining the Stonnington Group, Smith served as a securities industry consultant, advising financial services professionals, including broker dealer management and staff, compliance professionals, financial consultants and registered investment advisors on compliance policies and procedures. Additionally, he assisted clients in acquiring and maintaining proper registrations with the SEC, self regulatory organizations and state regulatory agencies.
Previously, he held the position of chief compliance officer with Bridge Investment Advisors, LLC in San Francisco, CA. There, he directed the Compliance Department and developed and implemented the firm's compliance infrastructure, including designing and developing supervisory policies and procedures, and managing the acquisition of the very complex registrations required for registered broker dealers/registered investment advisors. He also successfully managed the firm's application to FINRA and SEC for approval of its broker/dealer and RIA licensure. In addition to serving as chief compliance office, he held the positions of anti-money laundering compliance officer, SROP/CROP (option principal) and municipal securities principal.
Smith's background also includes compliance positions with S&Y Asset Management, Inc., RBC Dain Rauscher, Inc., Sutro & Co., Inc., PreferredTrade, Inc. and Baraban Securities, Inc.
About the Stonnington Group
Stonnington Group LLC is a premier wealth management firms that provides open architecture - a core value that permits the group to work with almost any custodian and source any investment that is necessary to fulfill the financial needs of its clientele. Always maintaining an environment that is constantly at the leading edge of the industry for service, technology, professionalism and quality, the Stonnington Group provides private and institutional clients with the most effective solutions for their financial needs. For more information, visit http://www.stonnington.net.
About Blattel Communications
Blattel Communications is a full-service public relations and marketing agency specializing in business-to-business communication.
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