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Team Profile
William S. Smith - President Since 1986, Mr. Smith has been in the investment research business, initially as a principal with 13D Research, Hoenig & Co., and currently with Wm Smith & Co., publishing institutional research for money managers, mutual funds, and hedge funds. Prior to 1986, he spent eight years in the energy business as a principal and in senior management capacities with Sheffield Exploration and ENI Corp. He began his business career in 1973 as a salesman for IBM Corp. Mr. Smith is currently President of Wm Smith & Co., founded in 1992. He formed the broker dealer in October of 1993 and Wm Smith Special Opportunities Research Company in 1995. Mr. Smith received his BA in Business Education from the University of Northern Iowa. In September 1999, Mr. Smith was appointed by Governor Bill Owens to the Colorado Commission on Science and Technology. Mr. Smith holds Series 7, 24, 63 and 87 registrations through Wm Smith & Co. bsmith@wmsmith.com
RESEARCH
Rob Young – Research Analyst Mr. Young is a research analyst for Wm Smith & Co. Prior to joining the firm, Mr. Young spent one and a-half years in the Telecom Consulting Industry where he worked on M&A, M&I, Bankruptcy, and Litigation engagements. Mr. Young is a graduate from the University of Denver where he earned a Bachelor of Science degree in Finance with an Accounting minor. He received his MBA from the University of Denver’s Daniels College of Business in August 2005. Mr. Young currently holds his series 7, 86 and 87 license registrations through Wm Smith & Co. He is a CFA Level II candidate. ryoung@wmsmith.com
David Wolfson -- Research Analyst David Wolfson joined Wm Smith & Co. in April 2010 as a Research Associate. Prior to joining the Firm, David interned with Jefferies & Co. as an investment banking analyst. David graduated from Indiana University’s Kelley School of Business with a Bachelor’s degree in Finance. Mr. Wolfson holds a series 7, 86, 87 license through Wm Smith & Co.
Jay Murphy-- Research Analyst Jay Murphy joined Wm Smith & Co. in August 2011 as a Research Associate. Prior to joining the Firm he spent a summer as an intern at NOJ Trading LLC in Chicago, Illinois and as a business affairs intern for Comedy Works LLC in Denver, Colorado.
Jay graduated from the University of Denver’s Daniels College of Business with a Bachelor’s degree in Finance in June 2011. Mr. Murphy holds a series 7 and 86 license through Wm Smith & Co.
TRADING
Ty Gates – Head Trader/Sales Mr. Gates joined Wm. Smith & Co. in March 2007 as a Sales/Trader. Mr. Gates brings with him sales and management experience. Mr. Gates attended John Brown University in Siloam Springs, Arkansas, where he majored in Business. Mr. Gates holds a Series 7, 63 and 55 license registrations through Wm Smith & Co. tgates@wmsmith.com
Mike Chewning – Trading/Sales Mr. Chewning joined Wm Smith & Co. February 2011 as an equity sales trader. He spent the prior five years in Denver, Colorado as an equity sales trader working for Macquarie Capital, Tristone Capital & Petrie Parkman & Co. Before moving to Colorado, he spent seven years on the New York Stock Exchange, working for Morgan Keegan & Co. and HSBC Securities. Mr. Chewning began his career at OppenheimerFunds in New York, where he worked for four years on the sales desk. He holds a Bachelor of Science Degree from Seton Hall University. Mike holds a Series 7, 63, 55 and 24 through Wm Smith & Co. mchewning@wmsmith.com
Brent Hause– Trading/Sales Mr. Hause is an equity sales trader for Wm Smith & Co. Prior to joining the firm, Mr. Hause spent a year in strategic IT consulting, spending the majority of his time in the industry assisting the FDIC in the resolution of failed financial institutions. Mr. Hause graduated from the University of Colorado in 2010, where he earned a Bachelor of Science degree in Economics with a minor in French. During his time at the university, Mr. Hause studied abroad in Annecy, France and worked as an intern for a retirement planning firm, and for an international relations consultancy. Mr. Hause holds his series 7, 55, and 63 license registrations through Wm Smith & Co. He is a CFA Level II candidate. bhause@wmsmith.com
INSTITUTIONAL SALES
Carley S. Smith Carley Smith graduated from the University of Denver in 2009 with a B.S. in Finance and Spanish. While attending the University of Denver, Carley studies in Santander, Spain and also volunteered with Intercambio de Comunidades Denver teaching English classes. Prior to graduation, Carley was an intern at Wm Smith & Co. in 2008 and 2009, assisting analysts in research and identifying trends in 13D and Insider Filings. Carley holds a Series 7 and 63 through Wm Smith & Co. After graduating in 2005, Jena spent two years in New York City with SeamlessWeb, Inc., a web based start-up founded in 1999. There, she focused on sales, business development and account management. SeamlessWeb was acquired by Aramark early 2006. Jena received her B.S. in Finance and Economics from The University of Denver. She currently holds her Series 7, 63 and 24 license registrations through Wm Smith & Co. jsmith@wmsmith.com
Bill Tapert is an Institutional Sales Managing Director at Wm Smith & Co. He was a member of the New York Stock Exchange and has built significant relationships in the U.S. institutional investment community. Previously, was managing director at Merrill Lynch International Bank and ran Institutional Capital Markets at Oppenheimer & Jefferies London. Mr. Tapert attended Wayne University in Detroit as an English major, French and Philosophy minor. He is a graduate of The Sorbonne, University of Paris, CPE Foreign Studies Degree. He currently holds his Series 7, 63 and 24 through Wm Smith & Co. wtapert@wmsmith.com Lee Poelma - CFO/CCO Lee Poelma joined Wm Smith & Co. as Chief Financial Officer and Chief Compliance Officer. Prior to joining Wm Smith & Co. Mr. Poelma worked for Geronimo Financial as the Chief Financial Officer. Mr. Poelma served at Homeport Holdings as a Controller and Board member. He has volunteered extensively at Littleton Public Schools serving on the District Accountability Committee and the Executive Council of the Gifted and Talented Advisory Board as a member and Chairperson. Mr. Poelma graduated with a Bachelor of Science degree in Accounting from the University of Wyoming. He received a Masters degree in Business Administration with honors from Regis College. Mr. Poelma is a Certified Public Accountant. Mr. Poelma Series 7, 66, 24, and 27 license registrations through Wm Smith & Co and also holds the Certified Securities Compliance Professional designation from the National Society of Compliance Professionals. lpoelma@wmsmith.com |
