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SmartFinancial Inc (SMBK.OQ)

SMBK.OQ on NASDAQ Stock Exchange Capital Market

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16 Aug 2018
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Summary

Name Age Since Current Position

Wesley Welborn

59 2009 Chairman of the Board

William Carroll

49 2015 President, Chief Executive Officer, Director

William Carroll

74 2015 Vice Chairman of the Board

C Johnson

2015 Chief Financial Officer, Executive Vice President

Nathaniel Hughes

2015 Executive Vice President

Gregory Davis

Executive Vice President, Chief Lending Officer

Rhett Jordan

Executive Vice President, Chief Credit Officer

Gary Petty

2015 Executive Vice President, Chief Risk Officer

David Ogle

60 2010 Lead Independent Director

Victor Barrett

65 2010 Independent Director

Monique Berke

51 2014 Independent Director

Ted Miller

74 2010 Independent Director

Steven Tucker

65 2017 Independent Director

Keith Whaley

47 2010 Independent Director

J. Beau Wicks

57 2017 Independent Director

Geoffrey Wolpert

62 2010 Independent Director

Biographies

Name Description

Wesley Welborn

Mr. Wesley M. Welborn is Chairman of the Board of the company. Mr. Welborn’s career has included a variety of ventures, including former Founding Partner of the Lamp Post Group, a Chattanooga, Tennessee-based venture capital incubator, where he served from 2010 to 2015. He also served for 10 years as President of Welborn & Associates, Inc., a Chattanooga, Tennessee-based transportation logistics consulting firm, and is the former President and Chief Executive Officer of the publicly traded trucking company, Boyd Brothers, Inc. Mr. Welborn also serves as a director of Covenant Transportation Group, Inc. (NASDAQ-CVTI). Leadership: His expansive and deep knowledge of the Chattanooga community is not only valuable for entrepreneurial and strategic initiatives, but he also provides experience with public company purchase and sale transactions. He brings experience in leadership and business operations with his past role as President & CEO of Boyd Brothers, Inc. Industry & Finance: His former partnership with Welborn & Associates, Inc. and his role as President & CEO of Boyd Brothers, Inc., showcase his ability to understand high functioning companies, including the inner-workings of publicly traded companies. His involvement as founding partner of the Lamp Post Group, also prove his financial knowledge of strategic capital development. Civic Involvement: He also serves on the board of several non-profit organizations.

William Carroll

Mr. William (Billy) Y. Carroll, Jr. is President, Chief Executive Officer, Director of the Company. Prior to 2007, his financial industry tenure included various management roles, including the position of Executive Vice President and Chief Financial Officer with Citizens National Bank. Leadership: Mr. Carroll’s skills in management, leadership, business operations, accounting and finance have successfully positioned SmartBank throughout its diverse markets. Industry & Finance: With his many years of experience in the banking sector, he has an extensive knowledge in the financial industry, including experience leading a publicly traded company. Civic Involvement: Active in his community, he has served as: a past president of the Sevier County High School Foundation, a member of the Sevierville Planning Commission, president of Sevier County’s University of Tennessee Alumni Chapter and numerous other local organizations.

William Carroll

Mr. William (Bill) Y. Carroll, Sr. is Vice Chairman of the Board of the Company. He began his banking career in 1963 with Hamilton National Bank. He began serving with Citizens National Bank when it opened in 1973. While there, Mr. Carroll moved from Vice President to the roles of President, Chief Executive Officer and Chairman of the board. Leadership: With his expansive banking career, Mr. Carroll brings a variety of skills and leadership values to the SmartFinancial organization. His role as President and CEO of Citizens National Bank included leading the senior management team through a period of heavy and successful growth. In his current role with SmartBank, he uses his leadership and management skills to guide the business development team. Industry & Finance: With considerable strategic insight and management skills built through his 50 years’ experience in the financial industry, Mr. Carroll brings a wealth of knowledge about the East Tennessee business community to SmartFinancial. Civic Involvement: Mr. Carroll has served the banking industry in a variety of ways, including: past President and board member of the Tennessee Bankers Association, past member of the Federal Home Loan Bank of Cincinnati, and member of the State Advisory Council of the U.S. Small Business Administration. Mr. Carroll is the recipient of the Leader in Banking Excellence Award from the Tennessee Bankers Association. He also served as past Chairman of the board of Fort Sanders Medical Center, and is a former member of the University of Tennessee board of trustees.

C Johnson

Mr. C. Bryan Johnson is Chief Financial Officer, Executive Vice President of the Company. After graduating from the US Military Academy of West Point, Mr. Johnson served as an artillery officer with the First Armored Division in Europe. Following his military career, he completed business and law school, and then joined Moon Capital Management, a registered investment advisor. He joined SmartFinancial in 2010. the Army as a captain. Through his military career, he learned valuable leadership skills that apply to his current role with SmartBank. Industry & Finance: In addition to his considerable legal, banking, and investment industry experience, Mr. Johnson brings a wealth of financial knowledge. He has been a CFA charter holder since 2000. He is also a licensed attorney in Tennessee. Civic Involvement: He is a member of the West Point Society of East Tennessee. In addition, he was an adjunct professor teaching senior level finance courses and a graduate accounting course at the University of Tennessee from 2002 to 2009.

Nathaniel Hughes

Mr. Nathaniel F. Hughes is Executive Vice President of the company. He has over 30 years’ experience in the financial industry, and previously served as the President and Chief Executive Officer of Cornerstone Bancshares until 2015 when it merged with SmartFinancial. Leadership: With his considerable leadership experience, he brings expertise in finances, accounting, and management to his position with SmartFinancial. He possesses strong business and regulatory skills, and he is experienced in a variety of matters affecting public companies. Industry & Finance: He is intimately involved with the strategic interactions with key SmartFinancial investors. He specializes in bank investment management and is a CFA charter holder, which he has held since 1996. Civic Involvement: He currently serves on the board of several non-profit organizations including Chattanooga Neighborhood Enterprise, Inc. and the Chattanooga Food Bank. He is the Campaign Chairman of the Medal of Honor Heritage Center.

Gregory Davis

Mr. Gregory L. Davis currently serves as Executive Vice President, Chief Lending Officer of the company. He began his career as an examiner for the Tennessee Department of Financial Institutions. In 1998, he started with BankFirst as its Vice President and Commercial Lender. After BankFirst was acquired by BB&T, Mr. Davis served as Senior Vice President and City Executive in Sevier County, Tennessee. He joined SmartBank in 2006, where he currently oversees the commercial, consumer, and SBA lending divisions. Leadership: During his career, Mr. Davis has held many leadership roles in the financial services industry, including commercial lending, business development, product sales, and employee development and training. Industry & Finance: He has had a successful career in the financial industry as both a banker and financial examiner. He also earned the 2002 Sterling Performer Award as BB&T’s East Tennessee Region top commercial lender. Civic Involvement: He currently serves on the board of directors for the Areawide Development Corporation.

Rhett Jordan

Mr. Rhett D. Jordan currently serves as Executive Vice President, Chief Credit Officer of the company. He has over 20 years’ experience in the financial industry, and most recently served as the Senior Vice President, East Tennessee Area Credit Officer for Regions Bank in Knoxville, Tennessee. Leadership: Holding a variety of management and executive roles in the banking industry, he brings an extensive background in management and finance. Industry & Finance: With over 20 years’ experience, his wide array of knowledge and experience assist in the overall vision of SmartBank, derived from five years’ experience serving as the Chief Credit Officer for Capstone Bank and BankEast. Civic Involvement: He is a current member of the Risk Management Association, and a past member of the Association of Financial Professionals and the United Way of East Tennessee Funds Allocation Committee. He has also served on various regional non-profit organization boards and committees.

Gary Petty

Mr. Gary W. Petty, Jr., is xecutive Vice President, Chief Risk Officer of the company. Prior to Cornerstone Bancshares’ merger with SmartFinancial, he served Cornerstone Bancshares in a variety of positions, including Chief Financial Officer, Chief Operating Officer, and Internal Auditor. Leadership: Mr. Petty’s diverse skills in finance, management, business operations, and risk management contribute to his success in his current SmartBank position. Industry & Finance: With over 20 years’ experience in the financial industry, he has held a variety of roles that lend to his wealth of banking knowledge. Civic Involvement: He is active in his community and involved with a variety of non-profit organizations.

David Ogle

Mr. David A. Ogle is Lead Independent Director of the company. Mr. Ogle was the co-founder and currently serves as President of Five Oaks Development Group. Additionally, he is the founder of Five Oaks/Ogle, Inc., co-founder and President of Oaktenn, Inc., and co-founder and officer of Five Oaks Outlet Centers, Inc. His career also includes owner and operator of six Sevier County, Tennessee hotel, condominiums and resort lodging properties. Leadership: With his past experience starting and leading multiple commercial endeavors, Mr. Ogle’s extensive background in finance, management, business operations, and strategic development brings valuable strategic leadership to the SmartFinancial board of directors. Industry & Finance: With a background as a commercial general contractor and real estate broker, his venture with Five Oaks/Ogle, Inc. has included over $100 million in commercial construction since 1990. His partnership with Five Oaks Development Group and Five Oaks Outlet Centers, Inc. includes the commercial development of tourism assets. Civic Involvement: Highly active in his community, he is the past Chairman of the Tennessee Real Estate Commission and past Chairman of the board of trustees for Carson Newman College. In December 2010, he was conferred an Honorary Doctorate of Business Administration from Carson Newman College. He has also been recognized by Business Tennessee magazine for his success as a Top Commercial Real Estate Developer. In 2007, he was inducted into the East Tennessee Business Hall of Fame.

Victor Barrett

Mr. Victor L. Barrett is Independent Director of the Company. He is a co-founder and current partner The Track Recreation Center, a family entertainment center business with locations in Pigeon Forge, Tennessee, Destin, Florida. and Gulf Shores, Alabama. Prior to 1984, he worked with various oil-related companies in accounting and finance positions in Houston, Texas. Leadership: Through his experience in the energy sector and as a successful business owner, Mr. Barrett has developed strong management, leadership, and financial experience. He also brings extensive knowledge of the East Tennessee business community to SmartFinancial. Industry & Finance: Mr. Barrett has served in various accounting and finance positions, and he [is/was previously] a licensed certified public accountant. Civic Involvement: He currently serves on the board of the Tennessee Museum of Aviation.

Monique Berke

Mrs. Monique P. Berke is Independent Director of the company. Mrs. Berke served as the owner and operator of Berke Coaching & Consulting from 2000 to 2008, providing consulting and coaching services to Fortune 500 companies. She served as the Chief Operating Officer and Vice President for External Affairs at The Ochs Center for Metropolitan Studies from 2009 to 2010. She was the Vice President of Human Resources and Global Services for Unum Group from 2010 to 2012, as well as the Vice President of Investment Operations for the Unum Group from 2012 to 2015. Leadership: Mrs. Berke brings strong leadership, business operations, financial services, and human resources knowledge with her role as Vice President at the Unum Group. Her background in consulting and current role in business transformation adds experience to our board concerning process, change management, as well as strategic planning. Industry & Finance: She has extensive experience in the financial services industry with specializations in human resources and operational effectiveness. Civic Involvement: Board service as Director for Siskin Rehabilitation Hospital and Advisory Committee Member for Latina Professionals of Chattanooga.

Ted Miller

Mr. Ted C. Miller is Independent Director of the Company. He is also the Director and Secretary at World Choice Investments, which owns and operates restaurant and entertainment venues in multiple states. Leadership: With over 50 years’ marketing and strategic planning expertise, he brings unique knowledge and business acumen to the SmartFinancial board of directors. Industry & Finance: While serving in the marketing industry, he has developed a deep knowledge of the tourism, recreation, and themed-attractions industry. His prior experience in various business leadership roles also contributes to his financial industry knowledge and contribute to his ability to lead and execute successful initiatives for impacted growth. Civic Involvement: He currently serves as the Vice Chairman of the Dollywood Foundation and the Imagination Library.

Steven Tucker

Mr. Steven B. Tucker is Independent Director of the company. He currently serves as Principal in Barnett Transportation, a liquid bulk transporter headquartered in Tuscaloosa, Alabama. Mr. Tucker has an expansive background including service as an Officer in the United States Army. After his military career, he joined the national accounting firm, Arthur Anderson, and became a certified public accountant. Mr. Tucker has over 20 years’ accounting experience. Prior to his appointment to the SmartFinancial board, Mr. Tucker was Chairman of the board of Capstone Bancshares, Inc. and Capstone Bank. Leadership: In addition to his military career, Mr. Tucker’s extensive knowledge of the Alabama business community makes him a valuable asset to SmartFinancial’s growth strategy. His accounting experience, leadership skills and business acumen also lend to insights that are crucial to SmartFinancial’s vision. Industry & Finance: Through his 20-year career as a CPA and current role as principal for Barnett Transportation, Mr. Tucker has developed an extensive knowledge of the Alabama business community and the financial industry. Civic Involvement: His many years of involvement with the Tuscaloosa Children’s Hands-On Museum has included the roles of Treasurer and President. He is also a board member of the Alabama Trucking Association Worker’s Compensation Fund.

Keith Whaley

Mr. Keith E. Whaley is Independent Director of the company. He is founded Whaley Family Eyecare in Pigeon Forge, Tennessee. He attended the University of Tennessee at Chattanooga and at Knoxville, and earned his Doctor of Optometry from the Southern College of Optometry. Leadership: He brings a considerable amount of knowledge of the Sevier County, Tennessee market, including his own skills in leadership, strategic development and financial experience with founding his own medical practice, and serving in a variety of community roles. Industry & Finance: He has past experiences within the Sevier County, Tennessee government system, serving as Mayor of Pigeon Forge, Tennessee from 2007 to 2011. His financial knowledge also includes his current roles as a commissioner on the Sevier County Board of Commissioners, and since 2013 he has served as commissioner of the Sevier County Utility District. Civic Involvement: He currently holds memberships in the American Optometric Association, the Tennessee Association of Optometric Physicians (TAOP) and the East Tennessee Society of Optometric Physicians. He served on the TAOP Board of Trustees from 2001 to 2010. He is also a past board member for the Pigeon Forge Rotary Club, where he served as President from 2003 to 2004. He formerly served as President of the Business Network International Sevier County Chapter.

J. Beau Wicks

Mr. J. Beau Wicks is Independent Director of the company. He founded and currently serves as President of Southeast Logistics, Inc., a regional trucking company serving the building products industry. Since its inception, the company has grown to operating 300 trucks with four offices in three states. Prior to 1998, Mr. Wicks spent eight years as a Controller for Randall Publishing Company, and six years as the Chief Financial Officer of Cummings Trucking Company. Leadership: Mr. Wicks brings extensive knowledge of the Tuscaloosa, Alabama market, and has experience with business growth strategies, finance and accounting. Industry & Finance: Mr. Wicks’ role within Southeast Logistics, Inc. and his previous role as Chief Financial Officer speak to his ability to translate his financial knowledge and expertise into the vision of SmartFinancial. Civic Involvement: Active in the trucking industry, he is a member of the Alabama Trucking Association, and has served on the board of directors and as Chairman for the Alabama Trucking Association Worker’s Compensation Fund. He has also served in numerous non-profit roles throughout the Alabama market.

Geoffrey Wolpert

Mr. Geoffrey A. Wolpert is Director of the Company. He is the owner of The Park Grill and The Peddler restaurants in Gatlinburg, Tennessee. He has had an outstanding career in the hospitality industry with over 30 years’ experience. He also has over 20 years’ experience in the financial industry, including positions on the board of directors for both The First National Bank of Gatlinburg and BankFirst, now known as BB&T. Leadership: Mr. Wolpert has an extensive knowledge of business operations, and he brings strategic leadership and financial experience to the SmartFinancial board of directors. His expansive career in the hospitality industry also includes a working knowledge of entrepreneurship. Industry & Finance: With over two decades of serving as a board member for other financial institutions, his knowledge in the financial industry includes bank mergers and growth strategies. Civic Involvement: He was recognized in 2000 as Volunteer of the Year by the Gatlinburg Chamber of Commerce, and received the 2004 Leadership Award from the United Way of Sevier County. He is also the founding President of the Gatlinburg Gateway Foundation. He is a past President for the board of governors for Arrowmont School of Arts & Crafts, and recently served as Chairman of the Development Committee for the school.