Ryan Smith, CRCP®
President and Co-Founder
Ryan O. Smith is co-founder, President, and Chief Compliance Officer at DFPG Investments, LLC (DFPG). Prior to founding DFPG, Mr. Smith co-founded Diversify, Inc., which is an award-winning wealth management firm and a branch office of DFPG located in Salt Lake City, Utah.
Mr. Smith was honored with Investment News’ 2014 Forty Under 40, which recognizes the nation’s top investment and financial professionals under the age of 40. In addition, Mr. Smith was featured in Utah Business Magazine as a recipient of the Utah Top Forty Under 40 Award, which recognizes the top executives in the state of Utah who have had a significant impact in Utah’s economy.
In 2014, Mr. Smith was one of only three recipients in the country to receive a scholarship into the FINRA Institute at Wharton’s prestigious Certified Regulatory and Compliance Professional (CRCP) program. This program provides in-depth training in compliance, legal and regulatory theory, and application.
Mr. Smith has a BS in Economics from the University of Utah as well as a Certified Regulatory and Compliance Professional (CRCP) ® designation from The Wharton School of the University of Pennsylvania.
Licenses and Registrations:
- Series 7 General Securities Representative
- Series 63 Uniform Securities License
- Series 66 Registered Investment Advisor
- Series 99 Operations Professional
- Series 24 General Securities Principal