Carey Smith joined Mick Law P.C. in 2012 as the Director of Mick Compliance Resources. He has worked in the financial services industry for 18 years and held the Series 4, 7, 24, and 63 licenses. In 2007, he started working in compliance as the Due Diligence Manager for QA3 Financial Corp. and was responsible for the review of alternative investments and maintaining a compliance process by which reviews were conducted. In 2011, Mr. Smith founded Achievement Consulting Services and began the practice of supporting firms with their compliance needs.

As the Director of Mick Compliance Resources, Mr. Smith will assist firms with their due diligence requirements, providing an efficient and cost effective means of program review, education, WSP audits, and more. Mr. Smith is dedicated to developing processes for firms that will strengthen their protection, mitigate their risk, and benefit not only themselves, but the investors they serve.