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Carolie Smith

Carolie Smith

Vice President

Carolie began serving the independent financial advisory arena in 2002 and regularly supports Financial Planners, Independent Advisors and RIA Firms. Her in-depth knowledge in fixed income enables her to effectively translate the complexity of bonds and the fixed-income marketplace to enable her accounts to make objective investment decisions. Her experience in the industry has in included senior positions in sales, trading, bond underwriting, public finance, municipal advisory services, executive management, business development and asset management. Further, Carolie spent five years supporting business development/sales for an asset management firm, bringing in substantial assets under management during her time there. Carolie brings over 35 years of experience in the fixed-income securities industry.

Carolie founded, grew and sold an investment banking firm focused exclusively on fixed-income securities. She served as President and Chief Executive Officer for 10 years, offering services in public finance, municipal advisory work, new issue bond underwritings, institutional fixed-income trading and sales, placement of municipal leases and asset management services. The firm grew to seven offices and 50 employees before Carolie sold the company in the 1990’s.

In addition to her industry experience, Carolie has taught post-graduate classes regarding the investment industry, finance and economics at Pacific Lutheran University (PLU) and Seattle University.

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