303.204.8884  |  Disclaimer  |  Privacy Policy



Wm Smith & Co. provides the Wm Smith & Co. web site (the "Site") for informational purposes only. Your access to the Site is subject to the following terms and conditions and all applicable laws. By accessing, browsing and using the Site, you accept, without limitation or qualification, these Terms of Service.

No Investment Advice

The, reports, models, forecasts, strategies, material, data and information contained on, or available through, this site (collectively, the "Content") are for informational purposes only and are not intended to provide tax, accounting, legal or investment advice. The Content does not constitute a solicitation or offer to purchase or sell securities or to subscribe for any investment and does not constitute investment advisory services. The Content on this site is subject to change at any time without notice. Wm Smith & Co. does not guarantee the timeliness, accuracy, completeness, sequence or adequacy of the Content contained in this site. Wm Smith & Co. and its officers or employees may have a long or short position in the securities mentioned on this site and may effect transactions for their own account in those securities. Use of this site does not create a client relationship between Wm Smith & Co. and the user. Users of the site should obtain individual financial advice to determine whether recommendations are suitable for their individual investment objectives and financial situation before acting on any recommendation. By using this site, you agree that any and all use you make of the Content is solely at your own risk and without recourse to Wm Smith & Co.

Disclaimer of Liability

Wm Smith & Co. does not warrant that your use of this site will be uninterrupted, error-free, or secure, that defects will be corrected, or that the server(s) hosting the service are free of viruses, disabling devices, or other harmful components. Wm Smith & Co. does not make any representations or warranties, express or implied, or assume any liability to you regarding the system performance and effects on or damages to software, hardware, data or property in connection with any use of this site.

Past preformace is not a guarantee of future results.


Any information provided by you to Wm Smith & Co. through the Site will be governed by the Firm's Privacy Policy.

Proprietary Rights

The Site and the Information contain copyrighted material, trademarks and other proprietary information, including text, graphics and software. Wm Smith & Co. is the owner of the copyright in the Site, as well as the copyright in any Information original to Wm Smith & Co. Except as permitted under copyright law, you shall not copy, redistribute, publish or commercially exploit the Site, any portion of the Site or any of the Information without the express written consent of the respective owner(s) thereof.

Wm Smith & Co.'s trademarks (including any service marks) and logos are the property of Wm Smith & Co. All other trademarks appearing on the Site are the property of their respective owners. Nothing contained on the Site should be construed as granting by implication, or otherwise, any license or right to use the trademarks or logos appearing on the Site without the express written consent of the owner thereof.

Wm Smith & Co. is registered in the following states: CA, CO, CT, FL, LA, MD, MN, NV, NJ, NY, OH, PA, UT, MO, DE.

Business Continunity Plan / Customer Disclosure Statement

Wm Smith & Company's Business Continuity Plan takes into account two kinds Significant Business Disruptions (SBDs), internal and external. Internal SBDs affect only the Company's ability to communicate and do business, such as a fire or loss electrical power in the office or building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services.

Any questions regarding the Company's Business Continuity Plans should be addressed to:

  • Lynn Koczera
    Wm Smith & Company
    5700 S. Aspen Court
    Greenwood Village, CO 80121

Internal SBDs

In the event of a disruption in the Company's business operations due an internal SBD, the Company will attempt to continue to conduct business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternative location.

External SBDs

In the event of a disruption in the Company's business operations due to an external SBD, the Company will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the effected area, if possible, or by providing customers with alternative arrangements. The Company will resume normal business operations as soon as it is able to do so based on the type and the extent of the disrupting event.
This website is not intended as a solicitation for the purpose or sale of any security.  It is provided for informational purposes only.  Please read our Disclaimer and Privacy Policy.