Anne Flegal Smith
Partner, Chief Compliance Officer, Chief Financial Officer
Anne came to Jonathan Smith & Co. in 1988 as a temporary employee but quickly became interested in the business and has become an integral part of the management team. She is Chief Compliance Officer and is ultimately responsible for implementing the Security and Exchange Commission regulations for Registered Investment Advisors. She oversees the firm's regulatory Compliance and Ethics Policies.
Additionally as Chief Financial Officer, she is responsible for maintaining the firm's books, accounts, and records in conformity with SEC regulatory requirements. Anne works with clients from their earliest interview stages throughout a lifetime, listening, probing, asking the hard questions, seeking the root causes of problems, solving a wide range of financial challenges, all in the relentless pursuit of achieving financial peace for each client and their family.
Experience: Anne moved to Greensboro to join Bell Telephone Laboratories as a computer programmer/systems analyst in 1970. For the majority of her 13 years there, she was part of a team that developed the Automated Repair Service for the Bell Telephone companies nationwide. This work gave her vast experience as a problem solver and a team player.
Education and Affiliations: Anne has a B.S. in Mathematics with a minor in Industrial Engineering and Business Administration from Auburn University. Anne is an active participant in the U.S. Security and Exchange Commission’s CCOutreach Program, designed to help the Commission better communicate with investment advisor’s Chief Compliance Officers. She is also a member of The National Society of Compliance Professionals, a nonprofit organization dedicated to serving and supporting compliance officials in the securities industry. An outspoken advocate for investment industry best practices, Anne is an active participant in regional and national NSCP conferences. She is a lifetime member of Auburn Alumni Association, an Alumnae of Pi Beta Phi Fraternity of Women and Girls Preparatory School, a member of the Wolfpack Club, and serves on boards of Greensboro Young Life and Journey Resources.