Greg Smith Compliance Specialist Mission Wealth

Greg Smith

In by Mission Wealth

Greg Smith Compliance Specialist

Greg Smith

CFP®, ChFC®, CLU®, NSSA®

Compliance Specialist

Santa Barbara

(805) 690-3903

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"I love the challenge of solving problems, which are unique and different for every client. A deep sense of personal satisfaction is derived from knowing that I have helped a client navigate their way through a complex maze of financial decisions."

As the Compliance Specialist at the firm, Greg Smith works closely with the Chief Compliance Officer and the Strategy Directors to ensure that the company adheres to all relevant securities laws and regulations. In addition, he is a valuable member of the Tax, Estate, and Philanthropic Strategy team and plays an important role in identifying and developing solutions that best serve the firm's clients. 

"I love the challenge of solving problems, which are unique and different for every client. A deep sense of personal satisfaction is derived from knowing that I have helped a client navigate their way through a complex maze of financial decisions."

As the Compliance Specialist at the firm, Greg Smith works closely with the Chief Compliance Officer and the Strategy Directors to ensure that the company adheres to all relevant securities laws and regulations. In addition, he is a valuable member of the Tax, Estate, and Philanthropic Strategy team and plays an important role in identifying and developing solutions that best serve the firm's clients. 

Learn About Greg Smith

Professional Background

Greg started his financial career as a tax accountant at Ernst & Young in 1979. Over the years, he has worked with several financial services firms, including New York Life, SunAmerica Securities, and Centaurus Financial Inc. In 2003, Greg joined Mission Wealth's financial advisory team, attracted by the company's dedication to delivering cutting-edge financial planning and investment advice.

He holds a Bachelors of Arts degree in Mathematics from the University of California, Santa Barbara (UCSB). Additionally, Greg has earned the highly accredited National Social Security Advisor Certificate, which enables him to provide clients with an in-depth Social Security analysis, and the knowledge and expertise to help them determine optimal collecting strategies.
 
Greg also holds many designations and certifications including the highly accredited CERTIFIED FINANCIAL PLANNER®, Chartered Life Underwriter®, Chartered Financial Consultant®, Chartered Retirement Plans Specialist®, and the National Social Security Advisor® certificates.

Personal Pursuits

When Greg is not working, he enjoys spending time with his family in their home in Santa Barbara, California. He is an avid classical pianist and enjoys cycling and photography. Greg also loves to travel and explore exotic places around the world. To learn more about Greg, view this 2019 Mission Wealth interview.

In the News

Check out these recent articles and blogs, authored by Greg Smith.
Tax Diversification

Is Tax Diversification Good or Bad for Investments?

Tax diversification refers to a strategy or approach used by individuals to manage their investments and retirement savings in a way that allows for flexibility in managing their tax liabilities.
Roth IRA Roth 401(k) (1)

Decoding Roth 401(k) and Roth IRA: Key Variations Explained

Planning for retirement involves navigating many different savings options, and two popular choices are the Roth 401(k) and Roth IRA.
Pros and Cons for IRA Conversion

Roth IRAs – To Convert, or Not To Convert?

Deciding whether to convert a Traditional IRA to a Roth IRA can be a complex financial puzzle, where the pieces of taxation and retirement planning intersect.

About Mission Wealth

Mission Wealth is a nationally recognized Registered Investment Advisory firm (RIA) founded in 2000 known for its service model, driven by a world-class technology stack that offers financial planning, investment counsel, tax strategies, estate planning coordination, philanthropic advice, and asset protection solutions tailored to each client’s needs.

Mission Wealth’s vision is to provide caring advice that empowers families to achieve their life dreams. Our founders were pioneers in the industry when they embraced the client-first principles of objective advice, comprehensive financial planning, coordination with other professional advisors, and proactive service. Mission Wealth is a fiduciary, and our holistic planning process provides clarity and confidence.
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