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Jeffrey Andrew Smith
About Jeffrey
Biography
Mr. Jeff Smith is a highly experienced securities, tax, business, M&A, regulatory compliance, digital assets, capital markets, and FinTech attorney with over 26 years of experience strengthening the legal and compliance functions of financial services companies, investment advisers, broker-dealers, digital asset companies, family offices, technology companies, and investment vehicles. He has represented companies at all stages of maturity with their legal and compliance needs related to capital and debt raising efforts via private and public offerings. He has also served as Chief Legal Officer and Chief Compliance Officer for many companies while also working in the Director of Enforcement’s office at the Securities and Exchange Commission and serving as Investigative Counsel for President Obama at the Financial Crisis Inquiry Commission. Mr. Smith also serves on public company boards and was highly instrumental in facilitating the merger between Digital World Acquisition Corp and Trump Media & Technology Group, resulting in Trump Media becoming a publicly traded, well-resourced company. Mr. Smith also advises presidents, heads of parliament and ministers throughout Africa as part of his work in international economic development and is an expert in tax structuring and asset preservation planning. He has also been a pioneer in the development of tradable fractional and partitioned interests in rarities and real world asset tokenization as a co-founder of RarityX.
CREDENTIALS
- Master of Laws in Securities & Financial Regulation from Georgetown University Law Center
- Juris Doctor from University of Kentucky
- Bachelors of Science in Accountancy from University of Kentucky
- Investment Adviser Certified Compliance Professional (NRS Education), with an additional certification in Hedge Fund compliance
- Certified in Risk Management (International Institute of Professional Education and Research)
- Certified Regulatory and Compliance Professional FINRA Institute at Wharton
- FINRA Series 14 (Compliance Officer)
- California Real Estate Broker
Practice Areas
5
Practice Areas
Securities Offerings
40%
24 years
Business
30%
24 years
Securities and Investment Fraud
15%
24 years
Corporate and Incorporation
10%
24 years
Fees and Rates
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Chat withLicenses
Licensed in District of Columbia for 12 years
State: District of Columbia
Acquired: 2013
No misconduct found
Licensed in Michigan for 18 years
State: Michigan
Acquired: 2007
No misconduct found
Licensed in Kentucky for 25 years
State: Kentucky
Acquired: 2000
No misconduct found
Location
LawVisory
1250 Connecticut Ave NW, Washington, DC, 20036
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Jeffrey Andrew Smith's Reviews
Avvo Review Score
9 Client Reviews
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Practice Areas
Showing 1 - 5 of 5 reviews | Practice Area Knowledge
Posted by Sebastian | December 14, 2023 | Hired Attorney | Financial Markets and Services
Highly skilled attorney
Jeff combines a number of skills that make him a unique attorney. He is extremely knowledgeable in the areas of securities law, start-up law, and other business-related matters. He is also a professional who devotes a great deal of time to his clients in order to provide world-class service.
Posted by Rabia | December 13, 2023 | Hired Attorney | Financial Markets and Services
Jeffrey under promises & over-delivers!
Jeffrey is a highly educated and motivated attorney who knows his way around financial services industry. Him and his team are highly knowledgeable, personable, and committed to resolving any issue in the most time-efficient path possible. I have seen him under promise & over-deliver. I highly recomm...
Posted by Phil | July 14, 2021 | Hired Attorney | Financial Markets and Services
Managing Partner
Jeff and his team have provided stellar service, guidance and counsel to our investment programs. They have exceeded expectations at every turn and helped us to transition/upgrade our compliance program in a detailed and efficient manner.
Posted by Marc | July 12, 2021 | Corporate & Incorporation
Excellent compliance, corporate and securities attorney
Jeff Smith provides sound, practical and effective guidance across the field of corporate and securities law. His wealth of knowledge and experience is extremely valuable to clients in regulated industries in general and in the asset management space in particular. Jeff is a capable, reliable, and pa...
Posted by Jeff | July 12, 2021 | Hired Attorney | Financial Markets and Services
A true jack of all trades
Jeff Smith has a deep knowledge of the securities laws and the practical operational implications that the law might have on advisory firms. He understands what his clients needs are and works with them and his colleagues to ensure those needs are met or exceeded. He is passionate about the practic...
Jeffrey Andrew Smith's Lawyer Endorsements
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Experience
Honors
2009
Investment Adviser Certified Compliance Professional, National Center for Compliance Professionals, Lakeville, CT
2008
Certified Regulatory and Compliance Professional, University of Pennsylvania, Wharton School of Business & FINRA Institute, Philadelphia, PA
2008
Certified in Risk Management, InternationalInstitute of Professional Education and Research, San Francisco, CA
Work Experience
2006 - Present
Managing Attorney, LawVisory
2019 - 2021
Chief Legal Officer & Chief Compliance Officer, Virtue Capital Management LLC
2013 - 2016
Chief Compliance Officer & Assistant General Counsel, Research Affiliates LLC
Associations
2023 - Present
Future Trends GroupExecutive Director & Global General Counsel
2023 - Present
MPI Group (Maximum Positive Impact)Chairman
2016 - Present
Rarity XChief Executive Officer & Co-Founder
Education
2009
Georgetown University Law Center
L.L.M. Securities & Financial Regulation, with Distinction
1999
University of Kentucky College of Law
JD - Juris Doctor
Speaking Engagements
2022
EITL Forum 2022
Cryptocurrency Regulations, Views, and Trends
Publications
2011
Hedge Funds and the Dodd-Frank Wall Street Reform and Consumer Protection Act
Hedge Funds and the Dodd-Frank Wall Street Reform and Consumer Protection Act
2011
Separating the Wheat from the Chaff: A Proposed Three-Part Safe Harbor Exemption to Differentiate Between Permissible Event Contracts and Illegal Gaming
Separating the Wheat from the Chaff: A Proposed Three-Part Safe Harbor Exemption to Differentiate Between Permissible Event Contracts and Illegal Gaming
2011
The Tragic Flaws and Critical Errors to Avoid in Securities Arbitration
The Tragic Flaws and Critical Errors to Avoid in Securities Arbitration
2011
Energy Trading in United States After Dodd-Frank Wall Street Reform and Consumer Protection Act and The Need for a Commercial End-User Exception That is Clearly and Broadly Implemented by the CFTC
Energy Trading in United States After Dodd-Frank Wall Street Reform and Consumer Protection Act and The Need for a Commercial End-User Exception That is Clearly and Broadly Implemented by the CFTC
Languages
English