Rick has been the Chief Compliance Officer for RFG Advisory for the past four years, with years of experience serving as CCO for other financial institutions spanning over 15 years. As Chief Compliance Officer (CCO) in financial services, Rick is a senior executive responsible for designing, implementing, and overseeing an organization's compliance program to ensure it adheres to regulatory requirements, laws, and ethical standards. This role acts as a safeguard against legal, regulatory, and reputational risk, focusing on anti-money laundering (AML), banking regulations, and investment rules.
RFG Advisory believes in the unlimited potential of the independent advisor model and has invested heavily in state-of-the-art tools for our advisors, including cutting-edge technology, customized marketing and branding and institutional-caliber investment management. They also offer their advisors advanced financial planning, growth capital, succession planning and transition support.
This comprehensive package of end-to-end support truly sets RFG Advisory apart from other RIAs. RFG has also created a culture keenly focused on innovation, collaboration and vision. They're not only providing the solutions and support our advisors need now, but well into the future.