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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
Caroline V. Corner, PhD Caroline V. Corner, PhD previously was a senior research analyst at Pacific Growth Equities focusing on medical technology and regenerative medicine. Prior to that, she was a Vice President and Senior Research Analyst covering medical technology and life sciences companies at Montgomery & Company. Caroline got her start on Wall Street at Wells Fargo Securities as an Associate Analyst covering medical devices. Prior to working on Wall Street, Caroline was with Baxter Transfusion Technologies in Belgium where she was responsible for supporting the global commercialization of proprietary healthcare technologies and with Eli Lilly working in the protein engineering group. Caroline received her Ph.D. in Biological and Environmental Engineering from Cornell University and her BS in Biological Systems Engineering at Virginia Tech. Caroline currently hold a Series 7, 63, 86 and 87 license through Wm Smith & Co. ccorner@wmsmith.com
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
John Ray -- Senior Sales/Trader John Ray joins Wm Smith & Co. with over 20 years of strategic and professional Equity Trading, Institutional Sales and Market Making experience. Much of John's time on Wall Street was spent as a Vice-President/ Senior Trader with both Herzog Heine & Geduld and Knight Securities. John holds a Series 7, 63 and 55 license registrations through Wm Smith & Co.
Chris Wittenborn – Sales/Trading Chris Wittenborn joined Wm Smith & Co. in July 2008 as a Research Associate. He recently transitioned to Sales/Trading January 2010. Prior to joining the Firm, Chris interned at a boutique investment bank assisting with PIPE transactions. Chris is a graduate from the University of Colorado where he earned a Bachelor of Science degree in Finance. His studies at the Universität Salzburg in Austria also helped him to earn the University of Colorado's International Business Certificate. Chris currently holds Series 7, 63, 86, 87, 55 license registrations through Wm Smith & Co. He is currently a CFA Level I candidate. cwittenborn@wmsmith.com
SALES
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 and 63 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 and holds Series 7, 66, 24, and 27 license registrations through Wm Smith & Co. lpoelma@wmsmith.com |
