Cari Smith is the Compliance Director at Private Advisor Group. In this role, she focuses on various compliance functions within the IAR only platform as well as liaising in the retirement plan space and overseeing third party manager relationships. She brings over 20 years of industry experience to the team.
Prior to joining Private Advisor Group, Cari has held the position of Director of Compliance at Western Wealth Advisors and was a Senior Branch Examiner at LPL Financial.
Cari earned a Bachelor of Science in Business Administration from Point Loma Nazarene University with an emphasis in Marketing. She holds FINRA series 7, 24, and 66 securities registrations and IACCP designation. She is also the Vice President of her HOA and has been on the board for 15 years.
Cari lives in Colorado with her partner, Mitch, and outside of work she enjoys hiking, running, reading, wine, and traveling which has led her to all seven continents.