Stuart Smith
About Stuart Smith
Stuart Smith is a Manager in the Corporate Financing Department at FINRA, specializing in Public Offering Review. He holds a Business Law Certificate and a J.D. from Florida State University College of Law, and has a B.A. in Economics and Political Science from the University of North Carolina at Chapel Hill.
Current Role at FINRA
Stuart Smith currently serves as the Manager of the Corporate Financing Department at FINRA, focusing on Public Offering Review. He has held this position since 2024, having progressed through various roles within the organization. His responsibilities include overseeing the review processes for public offerings and ensuring compliance with regulatory standards.
Career Progression at FINRA
Stuart Smith has advanced through multiple roles at FINRA, beginning as an Analyst in the Corporate Financing Department in 2020. He transitioned to Senior Analyst in 2021, where he worked for one year before becoming an Associate Principal Analyst in 2022. His career at FINRA reflects a steady progression in responsibilities and expertise within the Corporate Financing sector.
Education and Qualifications
Stuart Smith holds a Doctor of Law (J.D.) degree from Florida State University College of Law, where he also earned a Business Law Certificate. He completed his law studies from 2015 to 2018. Additionally, he received a Bachelor of Arts (B.A.) in both Economics and Political Science from the University of North Carolina at Chapel Hill, graduating in 2015.
Previous Work Experience
Before his current role at FINRA, Stuart Smith gained valuable experience as a Legal Intern at Avineon, Inc. in 2017 and as a Law Clerk at The Florida Bar, also in 2017. He also worked as a Regulatory Intern at Charlotte Douglas International Airport in 2014. These positions provided him with a foundation in legal and regulatory practices.