Vice President, Senior Settlements Administrator

Dorothy rejoined Smith Graham (SGIA) in 2017 after previously working for the company from 1992 until 1999. Dorothy provides trade support to both equity and fixed income trading desks in New York and Houston. She also provides daily support to custodians and serves as the mediator between the brokers and custodians. Dorothy also serves as a conduit between STP and the custodians regarding daily reconciliation of accounts.

Dorothy has been involved in the investment industry for more than 44 years. She has in-depth trading, operations, and settlements background with experience in equities, SBA, international and domestic fixed income products. In-between her stints at SGIA, she settled domestic and international securities and worked on special projects for Bank of America. In 2000, she later began consulting providing advice and assistance in various functional and operational areas at First Union Bank/Wachovia Securities, Wells Fargo, and Freddie MAC for over ten years. She assisted the organizations pre and post system migrations, implementations and during firm acquisitions. Dorothy was also able to utilize her extensive military background while working in defense contracting in the Middle East (Afghanistan, Kuwait, and Qatar) for over five years.

Dorothy is a graduate of Eastern Kentucky University, with a BS in Criminology. She is also a retired Master Sergeant in the US Army Reserves. Dorothy has one daughter.