Robert J. Smith

Prior to forming Smith & Riley in 2004, Bob was an associate for four years in the financial services practice group at the Washington, D.C. office of Dechert LLP, an international law firm. In 1992, Bob joined the General Counsel’s Office of NASD Regulation as a staff attorney, leaving as an Assistant General Counsel in 2000 to join Dechert. From 1988 to 1992, he was the Chief Compliance Officer of F&G Securities, Inc., a general securities broker-dealer, and the Assistant Chief Compliance Officer of USF&G Investment Services, Inc., a mutual fund distributor and wholesaler for USF&G Funds, Inc. Before that, Bob was a retail broker and has held various industry qualifications and licenses, including the Series 6, 7, 24, 53, 63 and 65; a certified financial planning (CFP) designation; and life, health, property and casualty insurance licenses.

Bob is admitted to the bar in Maryland and the District of Columbia and received his law degree from the University of Maryland in 1992, where he was a member of the Moot Court Board. He received a Master of Arts degree in Philosophy, magna cum laude, from Villanova University in 1980 and a Bachelor of Arts degree in Philosophy from Loyola College, Maryland in 1974, where he was the recipient of the Philosophy Medal.

Contact Robert Smith: rjsmith@smithrileylaw.com

Margaret M. Riley

Prior to forming Smith & Riley in 2004, Margaret was an associate for four years in the financial services practice group at the Washington, D.C. office of Dechert LLP, an international law firm. Prior to joining Dechert, Margaret was Chief Compliance Officer for Janus Distributors, Inc. From 1998 to 1999, she was Vice President of Compliance for Trust Company of the West.

From 1979 through 1997, Margaret held various positions with William O’Neil + Co. Incorporated, a registered investment adviser and broker-dealer, including Compliance Director; Manager of the retail discount brokerage division; and Senior Vice President, Chief Compliance Officer, and Secretary of New USA Mutual Funds, Inc. Margaret has held various industry licenses, including the Series 4, 7, 12, 14, 24 and 63.

Margaret is admitted to the bar in Maryland and the District of Columbia. She received her law degree from Loyola Law School ( Los Angeles) in 1999, where she was a Sayre MacNeil scholar. She earned a Bachelor of Arts degree in Secondary Social Studies from the State University of New York College at Cortland in 1974.

Contact Margaret Riley: mmriley@smithrileylaw.com