Rick has over 20-years of experience in the financial services industry. Currently he is the Senior Compliance Manager at RBC Wealth Management in Minneapolis, MN. He supports RBC’s correspondent clearing business as well as providing Compliance support to various products, projects and initiatives. Previously he served as the Director of Compliance for Ameriprise Financial supporting the operational, product, FinOp and Trust Banking areas of that firm. He currently holds his Series 7, 24 and 27 registrations and has a B.A in History from the University of Minnesota.