Brian Smith

Brian Smith has extensive work experience in the compliance field. Brian is currently working as the Chief Compliance Officer at BIDS Trading since December 2021. Prior to this, they served as the Deputy Chief Compliance Officer at Carta Capital Markets from August 2021 to December 2021. Brian also held the role of Chief Compliance Officer at BIDS Trading, L.P. from February 2008 to August 2021. Before that, they worked at Morgan Stanley as a VP - Compliance from January 2005 to April 2007, and at HSBC Brokerage (USA) Inc. as a VP - Compliance from December 2002 to December 2004. Brian gained experience as a Cycle Examiner at FINRA from July 1998 to December 2002, a Risk Analyst at Toronto Dominion Securities (USA) LLC from January 1997 to July 1998, and an Equity Operations Officer at Brown Brothers Harriman & Co. from September 1993 to January 1997.

Brian Smith has an MBA in Information Systems from Pace University - Lubin School of Business and a Bachelor of Arts (B.A.) degree from the University of Delaware. Brian also obtained a CRCP certification from the FINRA Institute at Wharton. However, the specific start and end years for these educational experiences are not provided.