Team

Rick became a licensed, professional financial advisor in 2006 for clientele of individuals, families and small businesses.  Rick is active in the community with several clubs and non-profit organizations.

"I inherited a strong work ethic from my father, a small business owner and an engineer for 40 years. I fell in love with the market as a teenager and have been actively studying, learning and investing in the market for over 20 years."

My focus is typically on deeply-researched stocks, ETFs, diversified and sector equity & bond mutual funds. I tend to shy away from complex, illiquid investments.

Rick is a graduate of Indiana University with a Bachelor of Science at the Kelley School of Business in Bloomington, IN. He enjoys many interests including tennis, golf, travel, live music, the beach, the arts and reading.  

Professional Licenses and Designations:
 

• FINRA Registrations: Series 7, 24, 63, 65 (held with LPL Financial)
• LPL Investment Advisor Representative
• California Life Insurance License: #0F33825
• Indiana Life Insurance License: #3781936
• Licensed to offer securities in AZ, CA, CO, FL, IN, MA, NV, OR, TX, Virgin Islands, WA