Richard oversees all aspects of regulatory compliance for 1900 Wealth Management, ensuring adherence to evolving securities and investment regulations. His role includes developing, implementing, and supervising the firm’s comprehensive compliance program.
He joined 1900 Wealth Management after serving more than five years at Ameriprise Financial Services as a Regional Registered Principal. He previously held chief compliance officer roles with multiple investment firms and brings decades of experience to the oversight of fiduciary standards and operational controls.
Experience & History
- Chief Compliance Officer – 1900 Wealth Management
- Regional Registered Principal – Ameriprise Financial Services
- Chief Compliance Officer – S.B. Value Partners
- Chief Compliance Officer – Investment Professionals Inc.
- Branch Office Manager – H&R Block Financial Advisors
- Bachelor of Business Administration in Finance – Baylor University