Richard is charged with staying on top of constantly evolving securities and investment regulations. His role includes developing, implementing, and supervising the organization’s compliance program.
Richard joined 1900 Wealth in September 2021 after spending more than five years at Ameriprise Financial Services as a regional registered principal. He was chief compliance officer of S.B. Value Partners before that.
Richard has worked in the investment industry since earning his finance degree from Baylor University in 1991.
Experience & History
Chief Compliance Officer, 1900 Wealth
Regional Registered Principal, Ameriprise Financial Services Inc.
Chief Compliance Officer, S.B. Value Partners, LP
Chief Compliance Officer, Investment Professionals Inc.
Branch Office Manager, H&R Block Financial Advisors
Bachelor of Business Administration – Finance, Baylor University
