Smith & Riley, LLC is a law firm specializing in providing legal counsel to broker-dealers, investment advisers, insurance agencies and similar financial service providers. With over two decades combined experience on the business side—as chief compliance officers and operations managers, as well as many years on the regulatory side—as NASD counsel, Smith & Riley attorneys combine their business and regulatory knowledge with skilled legal analysis to find workable solutions to legal issues.

As a boutique firm, we offer a high level of accessibility, strong client relationships and an efficient approach to helping clients address the numerous and complex legal matters that impact their businesses.