Cari Smith

Cari brings more than 20 years of industry experience to her role as Compliance Director at Private Advisor Group. Prior to joining the business in 2020, she served as Director of Compliance at Western Wealth Advisors where she was integral in the rollout and oversight of the IAR Only platform as well as managing the corporate and hybrid compliance programs. Before that, she was a Senior Branch Examiner for 14 years at LPL Financial. Her first job at LPL was as a college intern in the Service Center, where she was later hired full time after graduation.

“Compliance should be a trusted resource and a safety net for our advisors,” she says. “Just as our advisors’ focus is on helping their clients confidently navigate the path toward their financial goals, our team’s focus is on helping advisors confidently navigate the ever-changing regulatory landscape.”

Cari grew up in San Diego and moved to Colorado 14 years ago where she continues to be an active part of her mountain community. Her passion for travel has taken her to all seven continents and has provided many adventurous experiences. She enjoys hiking, running, reading, wine, and spending her leisure time with her partner, Mitch.